Project development process manual

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ARIZONA DEPARTMENT OF TRANSPORTATION
HIGHWAYS DIVISION
PROJECT DEVELOPMENT PROCESS MANUAL
Phoenix, Arizona
February, 2004
DOC 31- 077
$ 4.00
Pg 204
Copies of this
Project Development Process Manual
can be obtained from
Engineering Records, Arizona Department of Transportation
1655 West Jackson St., Phoenix, Arizona 85007
Document No. 31- 077 Price $ 4.00
204 Pages
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page i
_____________________________________________________________________________
TABLE OF CONTENTS
1. INTRODUCTION1.1
1.1 STATE HIGHWAY SYSTEM1.1
1.2 STATE ACTION PLAN1.1
1.3 TRANSPORTATION PLANNING PROCESS1.1
1.4 PROJECT DEVELOPMENT PROCESS1.2
1.5 PURPOSE OF MANUAL1.2
2. HIGHWAYS DIVISION ORGANIZATION AND RESPONSIBILITIES2.1
2.1 TECHNICAL ORGANIZATION2.1
2.1.1 Program and Project Management Group2.1
2.1.2 Roadway Group2.2
2.1.3 Bridge Group2.2
2.1.4 Traffic Engineering Group2.5
2.1.5 Right- of- way Group2.5
2.1.6 Transportation Support Group2.6
2.1.7 Materials Group2.7
2.1.8 Districts Operations Group2.7
2.1.9 Construction Group2.8
2.1.10 Maintenance Group2.8
2.2 PROJECT ORGANIZATION2.8
2.2.1 Project Team2.8
2.2.2 Technical Manager2.9
2.2.3 Project Manager2.9
2.2.4 Technical Leader 2.10
2.3 PROJECT CUSTOMERS2.10
2.3.1 General2.10
2.3.2 Metropolitan Planning Organizations2.10
2.3.3 Councils of Government2.11
2.3.4 Arizona State Parks Department2.11
2.3.5 Parkway, Historic, and Scenic Roads Advisory Committee2.11
2.3.6 ADOT Technical Units2.11
2.4 PROJECT REVIEWING / APPROVING AGENCIES2.12
2.4.1 Federal Highway Administration 2.12
2.4.2 FHWA Certification Acceptance2.12
2.4.3 United States Forest Service2.13
2.5 PROJECT DEVELOPMENT ADMINISTRATION2.13
2.5.1 Group Manager2.13
2.5.2 Chief Deputy State Engineer2.13
2.5.3 Project Review Board2.14
2.5.4 Finance Committee2.14
2.5.5 Priority Planning Committee2.14
2.5.6 MAG Life Cycle Office2.15
2.6 CONSULTANTS2.15
2.6.1 General ( Management) Consultant2.15
2.6.2 Limitations on use of Management Consultants2.16
2.6.3 Engineering Consultants2.16
3. PROJECT DEVELOPMENT PROCESS3.1
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3.1 PROGRAM DEVELOPMENT PROCESS3.1
3.2 PLANNING AND PROGRAMMING PROCESS3.1
3.2.1 The Regional Transportation System Plan ( Step 1) 3.1
3.2.2 Regional Transportation Priority Recommendations ( Step
2) 3.1
3.2.3 State Transportation Plan ( Step 3) 3.1
3.2.4 Priority Programming Process ( Step 4) 3.2
3.2.5 Transportation Corridor Planning Studies ( Step 5) 3.2
3.2.6 Corridor Location Study ( Step 6) 3.2
3.2.7 Priority Programming ( Step 7) 3.5
3.2.8 Advance Acquisition of Right- of- Way ( Step 8) 3.6
3.3 PROJECT DEVELOPMENT PROCESS3.6
3.3.1 Scoping Phase - Project Location and Definition ( Step
9) 3.7
3.3.2 Priority Programming ( Step 7), Continued3.7
3.3.3 Design Phase and Pre- Construction Activities ( Step 10) 3.7
3.3.4 Design Phase - Right- of- Way Acquisition ( Step 11) 3.8
3.3.5 Design Phase - Advertising for Bid ( Step 12) 3.8
3.3.6 Design Phase - Award of Contract ( Step 13) 3.8
3.3.7 Construction Phase ( Step 14) 3.9
3.3.8 Construction Phase - Project Acceptance ( Step 15) 3.9
3.3.9 Operation and Maintenance Phase3.9
3.4 PROGRAM AND PROJECT MANAGEMENT3.9
3.4.1 Program Management3.9
3.4.2 Project Management3.10
3.4.3 Project Priority Process3.11
3.5 RESOURCE MANAGEMENT3.12
4. PROJECT SCOPING PHASE 4.1
4.1 SCOPING PHASE OBJECTIVE4.1
4.2 GENERAL4.1
4.3 PROGRAMMING 4.1
4.4 STRATEGIC PLAN FOR PROJECT SCOPING4.2
4.5 PROJECT TEAM4.3
4.6 CONSULTANTS4.3
4.7 INDIVIDUAL PROJECTS4.4
4.7.1 Scoping Letter4.4
4.7.2 Project Assessment4.6
4.7.3 Location/ Design Concept Report4.10
4.7.4 Controlling Design Criteria Evaluation4.13
4.8 CORRIDOR STUDIES4.14
4.8.1 Corridor Study Project Team 4.14
4.8.2 Corridor Study Field Review4.14
4.8.3 Preliminary Information4.15
4.8.4 Public Information Meeting4.15
4.8.5 Initial Corridor Report4.15
4.8.6 Final Corridor Location Report4.16
4.8.7 Project Implementation Report ( General Plan) 4.18
4.9 SCOPE CONSENSUS STUDY4.20
4.10 VALUE ANALYSIS4.20
4.11 ENVIRONMENTAL ANALYSIS4.20
4.12 RIGHT- OF- WAY ACTIVITIES4.21
4.13 UTILITY ISSUES4.21
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4.14 OUTSIDE AGENCY COORDINATION4.22
4.15 PUBLIC COORDINATION4.22
4.16 PROJECT SCOPING REVIEW4.23
4.16.1 General4.23
4.16.2 Field Review4.23
4.17 PROJECT WORK PLANS4.24
4.18 DESIGN PHASE PLANNING4.24
5. DESIGN PHASE AND PRE- CONSTRUCTION ACTIVITIES 5.1
5.1 INITIATION OF DESIGN PHASE AND PRE- CONSTRUCTION ACTIVITIES5.1
5.2 QUALITY PLANS5.3
5.2.1 Quality Principles 5.3
5.2.2 Section Quality Plans5.3
5.2.3 Project Quality Plans5.4
5.3 DESIGN PROCESS5.4
5.4 DESIGN START- UP5.5
5.4.1 Design Kick- off Meeting5.5
5.4.2 Temporary Rights of Entry5.5
5.4.3 Survey Permit5.6
5.4.4 Field Data Collection5.6
5.5 VALUE ANALYSIS5.6
5.6 DESIGN DEVELOPMENT STAGES5.7
5.6.1 Stage I Documents 5.7
5.6.2 Stage II Documents 5.8
5.6.3 Stage III Documents 5.15
5.6.4 Final R/ W Plans5.20
5.6.5 Stage IV Documents 5.20
5.6.6 Final Plans, Specifications, and Estimates ( 100%
Complete) 5.21
5.7 QUANTITIES AND COST ESTIMATES5.22
5.8 DESIGN REVIEW5.22
5.8.1 General5.22
5.8.2 Design Review Distribution5.23
5.8.3 Review Procedures5.25
5.8.4 Field Review ( Stage III Review) 5.27
5.9 PRE- AWARD STAGE5.27
5.9.1 PS& E Approval ( Federal- Aid Projects Not Covered by
Certification Acceptance) 5.28
5.9.2 PS& E Approval ( Federal- Aid Projects under Certification
Acceptance) 5.28
5.10 PROJECT APPROVAL5.29
5.11 BID ADVERTISEMENT5.29
5.11.1 Advertisement5.29
5.11.2 Addenda5.32
5.12 PRE- BID CONFERENCE5.32
5.13 SITE VISITS5.32
5.14 AWARD OF CONSTRUCTION CONTRACT5.33
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6. CONSTRUCTION PHASE AND MAINTENANCE PHASE 6.1
6.1 GENERAL6.1
6.2 INITIATION OF CONSTRUCTION PHASE6.1
6.3 AUTHORITIES AND RESPONSIBILITIES6.1
6.3.1 Authority of the Engineer6.1
6.3.2 Resident Engineer6.2
6.3.3 District Engineer6.3
6.3.4 Project Manager6.3
6.4 CONSTRUCTION ADMINISTRATION6.3
6.4.1 Pre- Construction Conference6.3
6.4.2 Initial Partnering Conference6.4
6.4.3 Start of Construction6.5
6.4.4 Right- of- Way Clearance and Utility Relocation6.5
6.4.5 Construction Progress Meetings6.5
6.4.6 Interpretation of Plans and Specifications6.6
6.4.7 Post- Design Services6.6
6.4.8 Contract Modifications6.9
6.4.9 Closeout Partnering Conference6.11
6.4.10 Final Inspection6.11
6.4.11 Contractor Claims6.12
6.5 CONSTRUCTION PHASE PROJECT WORK PLAN6.12
6.6 INITIATION OF MAINTENANCE PHASE6.13
6.7 MAINTENANCE PHASE ACTIVITIES6.13
6.7.1 As- Built Drawings6.13
6.7.2 Operation and Maintenance Support6.13
6.8 PROJECT EVALUATION6.14
7. COMMUNICATION7.1
7.1 GENERAL7.1
7.2 COMMUNICATION WITH THE MEDIA7.1
7.2.1 General7.1
7.2.2 Contacts to the Media7.1
7.2.3 Contacts from the Media7.2
7.3 GENERAL PUBLIC COMMUNICATION 7.2
7.4 PROJECT TEAM COMMUNICATION 7.3
7.4.1 Project Planning7.3
7.4.2 Project Partnering Conference7.3
7.4.3 Project Partnering Agreement7.4
7.4.4 Informal Communication7.4
7.5 PROJECT MILESTONE MEETINGS7.5
7.6 PERIODIC MEETINGS7.5
7.6.1 Between Project Manager and Team Technical Leaders7.5
7.6.2 Between Technical Manager and Team Technical Leaders7.5
7.7 ISSUE RESOLUTION 7.5
7.7.1 General7.5
7.7.2 Issue Types7.6
7.7.3 Issue Resolution Process7.6
7.8 PROJECT WORK PLAN ( PWP) 7.7
7.8.1 Scoping Phase Project Work Plan7.8
7.8.2 Design Phase Project Work Plan7.9
7.8.3 Construction Phase Project Work Plan7.10
7.8.4 Maintenance Phase Project Work Plan7.10
7.9 PROJECT CHANGES7.11
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7.9.1 Project Manager Empowerment7.11
7.10 PROJECT REPORTS7.12
7.10.1 Reports Distributed by Program and Project Scheduling
Section7.12
7.10.2 Standard Primavera Reports7.13
7.10.3 Non- Standard Primavera Reports7.14
7.11 REPORTING PROJECT PROGRESS7.14
8. PROJECT DESIGN REFERENCES8.1
8.1 ADOT PUBLICATIONS8.1
8.1.1 Standard Drawings8.1
8.1.2 Specifications8.1
8.1.3 Manuals ( Current Editions) 8.1
8.1.4 Policies, Guides, and Procedures8.2
8.2 AASHTO PUBLICATIONS8.2
8.3 FHWA PUBLICATIONS8.3
8.4 OTHER SOURCE PUBLICATIONS8.3
8.4.1 Arizona State Parks8.3
8.4.2 Transportation Research Board ( TRB) 8.3
8.4.3 U. S. Department of Labor 8.3
8.4.4 The Industrial Commission of Arizona8.3
8.4.5 Soil Conservation Service8.3
8.4.6 Central Arizona Coordinating Committee8.4
8.5 ENVIRONMENTAL REQULATIONS AND POLICIES8.4
8.5.1 Federal8.4
8.5.2 State8.4
8.5.3 Local8.5
8.6 HANDICAP ACCESS8.5
LIST OF TABLES
Table 5.1 SUMMARY OF DOCUMENTATION FOR PROJECT
CLEARANCE/ APPROVAL ....................................... 5.30
LIST OF FIGURES
Figure 2- 1 HIGHWAYS DIVISION ORGANIZATIONAL STRUCTURE 2.3
Figure 3- 1 ADOT PROGRAM DEVELOPMENT PROCESS3.3
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page vi
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APPENDICES
APPENDIX A DISTRIBUTION OF DOCUMENTS
A. 1 SCOPING PHASEA. 1
A. 1.1 SCOPING LETTERA. 1
A. 1.2 PROJECT ASSESSMENT, DESIGN CONCEPT REPORTA. 1
A. 1.3 CORRIDOR STUDY AND IMPLEMENTATION REPORTA. 2
A. 1.4 TRAFFIC ANALYSIS REPORTA. 2
A. 1.5 ENVIRONMENTAL DOCUMENTATION ( CE, EA, EIS) A. 3
A. 1.6 AASHTO REPORTA. 3
A. 2 DESIGN PHASEA. 4
A. 2.1 PLANS, SPECIAL PROVISIONS, COST ESTIMATES AT STAGES II,
III, AND IV DESIGN REVIEWSA. 4
A. 2.2 FINAL PLANS, SPECIAL PROVISIONS, COST ESTIMATES ( PS& E) A. 5
A. 2.3 CROSS SECTIONSA. 5
A. 2.4 ENVIRONMENTAL REPORTS/ MEMORANDAA. 5
A. 2.5 ENVIRONMENTAL MITIGATION MEASURES SUMMARYA. 6
A. 2.6 DRAINAGE REPORTA. 6
A. 2.7 BRIDGE FOUNDATION REPORTA. 7
A. 2.8 STRUCTURE SELECTION REPORTA. 7
A. 2.9 GEOTECHNICAL REPORTA. 7
A. 2.10 MATERIALS DESIGN REPORT/ PAVEMENT DESIGNSA. 7
A. 2.11 SPECIAL REQUESTS BY ORGANIZATIONA. 8
APPENDIX B DOCUMENTS REQUIRED FOR REVIEW SUBMITTALS
APPENDIX C PROJECT TASK RESPONSIBILITY MATRIX
C. 1 PROJECT SCOPING PHASE TASK RESPONSIBILITIESPage C. 1
C. 2 DESIGN PHASE AND PRE- CONSTRUCTION ACTIVITIES TASK
RESPONSIBILITIESPage C. 7
C. 3 CONSTRUCTION PHASE TASK RESPONSIBILITIESPage C. 14
C. 4 OPERATION AND MAINTENANCE PHASE TASK RESPONSIBILITIESPage C. 17
APPENDIX D PROJECT DEVELOPMENT PROCESS FLOW CHARTS
D. 1. PROJECT ISSUE RESOLUTION PROCESSD. 1
D. 2. SCOPING PHASED. 3
D. 3. DESIGN PHASE AND PRE- CONSTRUCTION ACTIVITIESD. 17
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TABLE OF CONTENTS
1. INTRODUCTION1.1
1.1 STATE HIGHWAY SYSTEM1.1
1.2 STATE ACTION PLAN1.1
1.3 TRANSPORTATION PLANNING PROCESS1.1
1.4 PROJECT DEVELOPMENT PROCESS1.2
1.5 PURPOSE OF MANUAL1.2
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1. INTRODUCTION
1.1 STATE HIGHWAY SYSTEM
The Arizona Department of Trans-portation
( ADOT) is responsible
for providing a statewide network
of highways within Arizona which,
by statute, is the State Highway
System. To meet this responsi-bility,
the State Transportation
Board sets priorities for needed
construction or reconstruction
projects within funds available,
and the Department plans and con-tracts
to add these improvements
to the State Highway System. The
planning and development process
for state- funded and federal- aid
transportation facilities in Ari-zona
includes the identification
of public need; the determination
of funding; and the planning,
development, and construction of
appropriate transportation facil-ities.
The legal responsibilities of the
Arizona Department of Transporta-tion
are established in Title 28
of the Arizona Revised Statutes.
It is within the framework of
the statutes that the Department
plans, constructs, and maintains
the State Highway System.
In order to discharge its
statutory responsibilities, the
Arizona Department of
Transportation is organized into
the Divisions of Motor Vehicle,
Transportation Planning,
Highways, Aeronautics, and
Administrative Services with non-divisional
staff units in
support.
Two of these divisions have
primary responsibilities in the
State Highway System. Planning
of the Highway System is the
responsibility of the
Transportation Division while the
implementation of the System and
its operation and maintenance are
the responsibility of the
Highways System.
1.2 STATE ACTION PLAN
Two ADOT publications outline the
functions and processes the
Department uses for developing
and administering the State
Highway System program. They
are: the Action Plan for State-
Funded Highway Projects on the
State System, dated July 8, 1983,
2nd edition ( August 12, 1985),
and the Action Plan for Federal-
Aid Highway Projects, dated
September 26, 1988.
In general terms, the Action
Plan( s) sets forth the ADOT
organizational structure, the
assignment of responsibilities
within the organization, and the
procedures followed by the
Department in planning and
developing highway projects. The
Action Plan( s) identifies and
discusses the decision- making
process for proposed highway
projects being advanced through
transportation planning and
project development, and
describes how and when public and
other agency participation is
obtained as well as how social,
economic, and environmental
impact considerations are
addressed.
1.3 TRANSPORTATION PLANNING
PROCESS
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The Transportation Planning
Process, as outlined in the ADOT
Action Plan( s) involves a
systematic analysis of transpor-tation
issues at the state, re-gional
and community levels. It
includes studies of transporta-tion
systems, corridors, and spe-cial
improvements. The process is
future oriented and provides di-rection
to the succeeding Highway
Development Process.
One of the products of the Trans-portation
Planning Process is a
five- year priority program for
transportation capital improve-ments.
Of particular importance
to the Highway Development Pro-cess
described in this Manual is
the Five- Year Highway Construc-tion
Program which identifies the
highway projects programmed for
each or the five ensuing fiscal
years from date of publication.
Adoption and publication of the
five- year program is under the
direction and authority of the
State Transportation Board.
1.4 PROJECT DEVELOPMENT PROCESS
The Project Development Process
is administered by the Highways
Division of ADOT and includes the
location, design, and construc-tion
of new highways and related
facilities as well as reconstruc-tion
or improvement of the exist-ing
system, all in accordance
with the Five- Year Highway Con-struction
Program.
1.5 PURPOSE OF MANUAL
The purpose of this Manual is to
describe the Project Development
Process and to provide a guide
for the management of project
scoping activities, project de-sign
and production of construc-tion
documents, administration of
construction contracts, and ini-tial
project operation and main-tenance
in accordance with ADOT
policy.
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TABLE OF CONTENTS
2. HIGHWAYS DIVISION ORGANIZATION AND RESPONSIBILITIES2.1
2.1 TECHNICAL ORGANIZATION2.1
2.1.1 Program and Project Management Group2.1
2.1.2 Roadway Group2.2
2.1.3 Bridge Group2.2
2.1.4 Traffic Engineering Group2.5
2.1.5 Right- of- way Group2.5
2.1.6 Transportation Support Group2.6
2.1.7 Materials Group2.7
2.1.8 Districts Operations Group2.7
2.1.9 Construction Group2.8
2.1.10 Maintenance Group2.8
2.2 PROJECT ORGANIZATION2.8
2.2.1 Project Team2.8
2.2.2 Technical Manager2.9
2.2.3 Project Manager2.9
2.2.4 Technical Leader 2.10
2.3 PROJECT CUSTOMERS2.10
2.3.1 General2.10
2.3.2 Metropolitan Planning Organizations2.10
2.3.3 Councils of Government2.11
2.3.4 Arizona State Parks Department2.11
2.3.5 Parkway, Historic, and Scenic Roads Advisory
Committee2.11
2.3.6 ADOT Technical Units2.11
2.4 PROJECT REVIEWING / APPROVING AGENCIES2.12
2.4.1 Federal Highway Administration 2.12
2.4.2 FHWA Certification Acceptance2.12
2.4.3 United States Forest Service2.13
2.5 PROJECT DEVELOPMENT ADMINISTRATION2.13
2.5.1 Group Manager2.13
2.5.2 Deputy State Engineer for Planning and Design2.13
2.5.3 Project Review Board2.14
2.5.4 Finance Committee2.14
2.5.5 Priority Planning Committee2.14
2.5.6 MAG Life Cycle Office2.15
2.6 CONSULTANTS2.15
2.6.1 General ( Management) Consultant2.15
2.6.2 Limitations on use of Management Consultants2.16
2.6.3 Engineering Consultants2.16
LIST OF FIGURES
Figure 2- 1 Highways Division Organizational Structure 2.3
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2. HIGHWAYS DIVISION ORGANIZATION AND RESPONSIBILITIES
2.1 TECHNICAL ORGANIZATION
The Intermodal Transportation
Division of ADOT is responsible
for implementing and administer-ing
the Project Development Pro-cess
from project inception
through construction. Figure 2- 1
presents the organizational
structure of the Division,
reflecting the organizational
concept, the lines of authority
and communication, and the
relationship between all
organizational entities.
Management and administrative
responsibility for advancing a
highway project through the
Project Development Process lies
with the Statewide Project
Management Group or the Valley
Transportation Project Management
Group which report to the State
Engineer through their respective
Deputy State Engineers.
Responsibility for technical
aspects of the Project
Development Process is
distributed throughout the
fourteen groups and nine
districts which comprise the
Division. In addition to the two
Project Management groups, these
are Right- of- Way, Transportation
and Management Support, Roadway,
Traffic Bridge, Transportation
Planning, Maintenance,
Construction, Materials,
Equipment Services, MAG Life
Cycle, Phoenix District
Construction, and the nine
Districts. A description of
responsibilities in the project
development process for each of
these groups and their component
sections follows below.
2.1.1 Program and Project
Management Group
The Program and Project
Management Group is responsible
for the day- to- day management and
monitoring of the project
development process. The group
comprises:
¨ Statewide Project Management
Section - Provides technical
supervision and leadership of
the project managers for all
ADOT projects including those
managers who are assigned to
other groups/ sections.
¨ Local Government Section -
Responsible for providing
technical planning and
engineering liaison and
coordination between ADOT and
all local agencies involved in
planning and developing local
government federal- aid highway
construction projects
throughout the State.
¨ Program and Project Scheduling
Section - Responsible for
coordinating project schedules,
balancing ADOT resource
requirements and for providing
management reports for
monitoring program and project
progress. Provides technical
assistance in preparing project
work plans especially the work
breakdown structure and
resource requirements.
2.1.2 Roadway Group
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The Roadway Group is responsible
for the design and development of
concepts, plans, and estimates
for highway construction
projects. Frequently the Group
will
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Figure 2- 1 Highways Division
Organizational Structure
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utilize engineering consultants
to assist in these design
services. From time- to- time,
personnel will be assigned from
the group as project managers
reporting to Statewide Project
Management Section.
Responsibility for management and
administration of technical
activities rests with the group
manager.
¨ Pre- Design Program Management
Section- Responsible for the
management of the Roadway Pre-
Design Sections' on- call design
consultants.
¨ Pre- Design Sections -
Responsible for the technical
management and production of
Project Assessment Reports for
candidate highway projects.
¨ Studies Section - Responsible
for the technical management
and production of Highway
Corridor Study Reports and
Design Concept Reports for
candidate highway projects.
¨ Design Program Management
Section - Responsible for the
management of the Group's on-call
design consultants.
Develops and maintains design
guidelines and standards for
the Group.
¨ Design Sections - Responsible
for the technical management
and production of roadway
designs and plans.
¨ Roadway Support Section -
Responsible for the
coordination and operation of
the group's CADD system and
responsible for the maintenance
and operation of the highway
design library.
¨ Environmental Planning Section
- Responsible for the technical
management of and preparation
of environmental studies and
reports. Responsible for
scheduling and directing public
meetings and hearings relative
to the development of
transportation projects.
¨ Roadside Development Section -
Responsible for the technical
management of and preparation
of designs and plans for
roadside improvements including
rest areas, landscaping, state
parks access and interior
roads, and review of projects
on Parkways, Historic, and
Scenic Roads. Coordinates ADOT
activities with the U. S. Forest
Service.
2.1.3 Bridge Group
The Bridge Group is responsible
for the design and preparation
of plans for bridge and highway
structures, bridge maintenance,
hydrology, and drainage design.
Occasionally, the Group will
utilize engineering consultants
to assist in these design
services. From time- to- time,
group personnel will be assigned
as project managers reporting to
Statewide Project Management
Section. Responsibility for
management and administration of
technical activities rests with
the group manager.
¨ Bridge Design Sections -
Responsible for the technical
management and preparation of
designs and plans for bridges
and appurtenant highway
structures.
¨ Bridge Drainage Section -
Responsible for the technical
management and preparation of
analyses, designs and plans for
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highway drainage and of
analyses of stream flows.
¨ Bridge Management Section -
Responsible for an ongoing
inspection program to determine
bridge conditions and
maintenance requirements.
Initiates requests for major
refurbishing and repair
projects on bridges.
¨ Bridge Technical Section -
Responsible for developing and
maintaining computer design
programs and the coordination
and operation of the group's
CADD system.
2.1.4 Traffic Engineering Group
The Traffic Engineering Group is
responsible for the preparation
of design exception accident
analysis, construction zone
traffic control plan,
intersection analysis, traffic
signal and illumination plans,
signing plans, and pavement
marking plans. Frequently the
Group will utilize engineering
consultants to assist in these
design services. From time- to-time,
group personnel will be
assigned as project managers
reporting to Statewide Project
Management Section.
Responsibility for management and
administration of technical
activities rests with the group
manager.
¨ Traffic Studies Section -
Responsible for the technical
management of analyses and
designs for the traffic
engineering aspects of highway
projects.
¨ Electrical Design Production
Section - Responsible for the
technical management of designs
and preparation of plans for
the lighting and traffic signal
aspects of highway projects.
¨ Striping and Traffic Control
Section - Responsible for the
technical management of designs
and preparation of plans for
the pavement markings and
maintenance of traffic aspects
of highway projects.
¨ Sign Construction Review and
Preliminary Design Review
Section - Responsible for the
technical management of designs
and preparation of plans for
signing aspects of highway
projects.
¨ Traffic Records Section -
Responsible for assembling and
maintaining data on the
location and causes of traffic
accidents on the state
highways. These data are
available for guidance on
reconstruction and safety
improvement projects.
2.1.5 Right- of- way Group
The Right- of- Way Group is
responsible for acquiring rights-of-
way required for state
transportation facilities.
Frequently, the group will
utilize right- of- way consultants
to assist in providing these
services. Responsibility for
management and administration of
technical activities rests with
the group manager.
¨ Plans Sections - Responsible
for the technical management of
and the production of right- of-way
plans, acquisition
documents, and condemnation
exhibits.
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¨ Titles Section - Responsible
for the technical management of
and preparation of property
title reports, existing right-of-
way reports, and
Transportation Board
resolutions.
¨ Appraisal Section - Responsible
for the technical management of
and the preparation of
appraisals of property required
for highway right- of- way.
¨ Acquisition Sections -
Responsible for the technical
management and performance of
right- of- way negotiations
including acquisition and
relocation, and for agreements
with other public agencies.
When required, initiates
condemnation action to obtain
right- of- way by eminent domain.
¨ Public Liaison Section -
Responsible for the technical
management of the right- of- way
advance acquisition program,
for monitoring and scheduling
right- of- way acquisition
activities. Provides right- of-way-
informational assistance
to the public and participates
in special acquisitions.
¨ Fiscal Section - Responsible
for making payments for
property acquired, provides
accounting and budget control,
and right- of- way consultant
contracting liaison services.
¨ Property Management -
Responsible for the technical
management of properties owned
by the Department and the
demolition and disposal of
acquired improvements to clear
the right- of- way.
¨ Utility and Railroad
Engineering Section -
Responsible for coordinating
proposed highway improvements
with utility and railroad
companies, resolving conflicts
between utility or railroad
facilities and highway
improvements to clear the
right- of- way for construction.
Responsible for preparing and
processing agreements with
utility and railroad companies.
2.1.6 Transportation and
Management Support Group
The Transportation Support Group
is responsible for those
development functions which
directly support engineering
design. These support functions
include photogrammetry and
mapping, engineering surveys,
environmental planning, roadside
development, and utility and
railroad engineering. Frequently
the several sections will utilize
consultants to assist in these
activities. From time- to- time,
personnel will be assigned from
the group as project managers
reporting to Statewide Project
Management Section.
Responsibility for management and
administration of technical
activities rests with the group
manager.
¨ Photogrammetry and Mapping
Section - Responsible for
technical management of and
providing aerial photography,
photogrammetry, and a variety
of engineering maps for support
of engineering studies, design,
and other functions within
ADOT.
¨ Engineering Surveys Section -
Responsible for technical
management of and for providing
field survey services to
support mapping, engineering
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.8
_____________________________________________________________________________
studies, design and other
functions within ADOT.
¨ Engineering Consultant Section
- Assists ADOT managers in
administering the pre- award and
post- award processes for
engineering consultant
contracts and for developing
and processing Joint Project
Agreements.
¨ Special Programs Section - A
staff engineering section
charged with carrying out
programs related to ADOT's
Quality and Productivity
Initiative including Value
Analysis, Pre- Construction
Partnering, Constructability,
and QPI Training and
Facilitation.
¨ Contracts and Specifications
Section - Responsible for cost
estimates for the various
phases of a project,
preparation of specifications,
assembly of bidding documents,
and for advancing each
construction project through
the advertisement for bids and
the award of construction
contract by the ADOT
Transportation Board.
2.1.7 Materials Group
The Materials Group is
responsible for providing
geotechnical analyses, pavement
design, and materials testing
services. The group is
responsible for preparation of
materials reports in support of
engineering studies, design and
other functions within ADOT.
Frequently the several sections
will utilize consultants to
assist in these activities. From
time- to- time, personnel from the
group will be assigned as project
managers reporting to Statewide
Project Management Section.
Responsibility for management and
administration of technical
activities rests with the group
manager. Technical management of
the several sections' technical
activities remains with the
section manager.
¨ Materials Testing Sections -
Responsible for the quality
assurance testing of materials
used in construction.
¨ Materials Geotechnical Sections
- Responsible for geotechnical
investigations, sampling,
testing, analysis and design of
highway excavations and
embankments.
¨ Materials Pavement Section -
Responsible for the analysis
and design of highway
pavements. Responsible for
establishing pavement
performance criteria and
pavement management procedures.
Assists the districts in
recommending pavement
preservation projects.
2.1.8 Districts Operations Group
¨ Equipment Section - Responsible
state- wide for the day- to- day
maintenance of all the rolling
equipment ( vehicles, etc.)
assigned to ADOT.
¨ Engineering Districts - The
State of Arizona is divided
into ten districts which are
involved in the initial
identification of highway needs
and are responsible for
construction, operation and
maintenance of the highway
facilities within their
jurisdiction. The Districts
provide advisory and review
input to the Scoping and Design
Phases of the Project
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Development Process from the
standpoint of project intent,
constructability, operation,
and maintenance of highway
facilities. The Districts are
actively involved in project
progress throughout the
process; however, their most
significant involvement comes
in the technical management of
the Construction and
Maintenance Phases of the
Project Development Process.
The operation and maintenance
functions of the Districts are,
in essence, major Customers of
the Project Development Process.
From time- to- time, personnel from
the Districts will be assigned as
project managers reporting to
Statewide Project Management
Section. Responsibility for
management and administration of
technical activities rests with
the group manager, the District
Engineers and the
section/ function managers.
Although organized to meet their
individual missions, in general,
each district has construction,
operation and maintenance
functions. ( Note: In the Phoenix
area, one district is responsible
for construction activities only.
A second district is responsible
for maintenance and operation of
the highways in this area.)
Overall coordination and
supervision of the several
districts is provided by the
Group manager.
District Construction Functions
- Responsible for the technical
management of project
construction activities within
the district and for reviewing
project plans for
constructability.
District Operation Functions -
Responsible for operational
aspects of the state highways
in the district including
reviewing and approving
encroachment and access
permits, freeway management
systems, roadway signing and
striping, and traffic signal
and lighting systems and
responsible for reviewing
project plans for traffic
operation aspects. Operational
improvement projects originate
from these units.
District Maintenance Functions
- Responsible for the day- to-day
maintenance of the highways
within the district and
responsible for reviewing
project plans for
maintainability and for
advising design units of
maintenance problems. Together
with the design units, they are
responsible for resolving
conflicts involving design and
maintenance considerations.
2.1.9 Construction Group
The Construction Group is
responsible for the state- wide
coordination of construction
activities including managing the
construction partnering
activities, monitoring field
reports, making contractor
payments, disseminating
construction process improvements
to other groups, and providing
construction specialists in
support of the district
construction staffs. Involvement
in the Project Development
Process is through the districts.
2.1.10 Maintenance Group
The Maintenance Group is
responsible for the state- wide
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.10
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coordination of maintenance
activities, including maintenance
planning, permits, maintenance
contracts and purchasing, natural
resources, interstate highway
signing and lighting installation
and maintenance, water and waste
water engineering and maintenance
operations. These activities are
in support of the district
maintenance staffs. Involvement
in the Project Development
Process is through the districts.
2.2 PROJECT ORGANIZATION
2.2.1 Project Team
The guiding philosophy for ADOT's
Project Development Process is
that of " Teamwork". The Project
Team is the entity through which
a project is developed. The
Project Team is empowered to
achieve the Department's
objectives of quality, customer
satisfaction, and efficiency.
While individual Team members
have responsibilities for unique
aspects of the project, the
Project Team as a whole is
responsible for the total
project.
To achieve the Project Team's
responsibilities, ADOT believes
that the Project Team should
include not only the technical
staff who are actively involved
in preparing the project
documents, but also the project
customers including the project
initiators and the
reviewing/ approving agencies.
Project Team members are expected
to fulfill the roles which they
have been assigned in a
professional and efficient
manner; to focus on the
objectives of the project; to
deliver on commitments in a
timely manner; and to treat the
other Project Team members with
respect and courtesy.
Management of projects through
the Project Development Process
is provided by the three key
management roles of technical
manager, project manager and
technical leader. Staff filling
these roles are supervised by
group managers, and the Deputy
State Engineer for Planning and
Design.
Project requirements are provided
by the Project Customer and by
the Reviewing / Approving
Agencies.
The general responsibilities of
the various participants of the
project organization are outlined
below. More specific
responsibilities are discussed in
the following chapters on the
development process. In all
cases, individuals are granted
the authority to carry out their
responsibilities.
2.2.2 Technical Manager
The technical manager is
responsible for scheduling and
assigning work within each
organizational unit and commits
the resources necessary to each
project. The technical manager
monitors the status of project
work within the unit and adjusts
assignments and personnel as
required to meet the unit's
delivery date commitments.
The technical manager is
responsible for the technical
quality of the unit's work and
establishes technical standards,
policies and procedures. The
technical manager oversees
training of the unit's staff.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.11
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The technical manager is usually
the manager of a group, section
or district.
2.2.3 Project Manager
ADOT highway development projects
are assigned to a project manager
by the Deputy State Engineer for
Planning and Design on the
recommendation of the manager of
Statewide Project Management
Section ( SPMS). For major or
complex projects, the project
manager generally will be from
SPMS while for other projects,
particularly those involving
primarily one discipline ( e. g.,
structures), the project manager
may be assigned from a unit or
section of that discipline ( i. e.,
Bridge Group, District, etc.).
The project manager has the
responsibility for ensuring that
all project development steps are
followed and for leading,
assisting, delegating, and
coordinating work efforts as
required for the successful
completion of all work tasks to
meet the project objectives. The
project manager is responsible
for assuring that all Project
Team members and stakeholders are
adequately involved in the
project development process.
The project manager has specific
responsibility for the project
scope, schedule and budgets and,
with Project Team consensus, is
empowered to make decisions
regarding these items within the
limitations presented in Chapter
7 of this Manual. The project
manager monitors progress on
project activities and assists
the technical leader in taking
action to correct negative
variances from the approved plan.
The project manager is also
responsible for coordinating and
communicating with external
agencies involved in the project.
Those technical, policy and
project issues affecting the
project which have not been
resolved by Project Team
consensus become the
responsibility of the project
manager to escalate to resolution
using the Issue Resolution
Process described in Chapter 7.
2.2.4 Technical Leader
A technical leader is assigned to
a project by the technical
manager of each discipline
involved in the project. The
technical leader is in
responsible charge of that
discipline's work performed on
the project including technical
content and quality, project
staff work- task assignments and
budgets, and schedule. The
technical leader monitors and
reports progress on assigned
project activities and is
responsible for taking action to
correct negative variances from
planned progress.
2.3 PROJECT CUSTOMERS
2.3.1 General
The customer is an integral part
of the project development
process by establishing the
purpose of the project. The
customer is the entity which
instigates the project and/ or
will use, operate, or maintain
the completed project. Any
agency which has approval
authority or a direct financial
interest in the project is a
customer.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.12
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For transportation projects, the
primary customer is the
taxpayer/ user. On most projects,
the District operations and
maintenance staff, through the
District Engineer, will represent
the taxpayer/ user and will have a
significant role in the project
development.
Many highway projects are
initiated by other State agencies
such as the Arizona State Park
Department and the Arizona
Parkway, Historic, and Scenic
Roads Advisory Committee; and by
outside agencies such as
Metropolitan Planning
Organizations, Councils of
Governments, and individual local
governments. Depending on the
nature of the project, these
customers may wish to be directly
involved on the Project Team;
generally, they are represented
by the District staff or by an
ADOT liaison unit.
The construction contractor,
although an essential part of the
Project Development Process, by
virtue of being the recipient of
the construction plans is another
significant customer of the
process.
2.3.2 Metropolitan Planning
Organizations
There are three Metropolitan
Planning Organizations ( MPOs) in
Arizona covering the Phoenix,
Tucson, and Yuma metropolitan
areas. MPOs have a minimum base
population of 250,000. The
function of an MPO is to provide
a planning entity with broad
public exposure and the
capability to prepare long- range
planning consistent with the
area's needs. Under Federal
regulations, this planning is
necessary to support Federal
funding requests. Serving large
population areas, the three
Arizona MPOs are the source of
demand for many large capital
projects. The MPOs assist in
formulating and defining the
needs for capital projects.
Currently, the project
proponents work through their
respective Councils of
Governments ( COGs). The COGs
forward requests for projects
through the ADOT District
Engineer.
2.3.3 Councils of Government
Arizona has six Councils of
Government ( COGs). Among other
functions, the COGs coordinate
requests for local transportation
projects, thus eliminating
duplication and minimizing voids.
The COGs also concentrate local
efforts, accomplishing more than
could be done as separate
agencies.
Project requests from local
governments move from the
originator though the applicable
COG to the District Engineer.
The COGs ensure that all local
agencies and the originator are
in agreement. They also ensure
resolution of any conflicts with
other proposals. Each COG acts
as a clearing house and
establishes priorities for
requests going to ADOT. The six
Arizona COGs are an integral and
key link in the ADOT Project
Development Process.
2.3.4 Arizona State Parks
Department
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ADOT is responsible for providing
design, design review, and
construction engineering services
to the State Parks Department for
roads connecting the parks to the
State roadways, roads within the
parks, and other on- site
facilities.
The Roadside Development Section
provides liaison between ADOT and
the State Parks Department. A
list of priorities for new or
reconstructed park roads,
established by the State Parks
Board, is submitted through
Roadside Development Section to
the Transportation Planning
Division for inclusion in the
Five- Year Program.
2.3.5 Parkway, Historic, and
Scenic Roads Advisory Committee
This Committee has responsibility
for recommending to the
Transportation Board the
designation of a highway as a
Parkway, an Historic Road or a
Scenic Road. The Committee also
has the responsibility for
recommending the placement of
Tourist Signs. The Committee is
comprised of six citizens
appointed by the Governor, a
member of the State Tourism
Advisory Board, and one
representative each from the
Historical Society, the State
Parks Department, and ADOT.
The Committee establishes the
priorities for tourist signing
projects and for studies related
to signing and designation of
parkways and scenic or historic
roads. The recommendations are
forwarded to TPD for inclusion in
the Five- Year Program.
2.3.6 ADOT Technical Units
ADOT technical units initiate
many projects in meeting their
responsibilities for the State
Highway System. Corridor Studies
are requested by the
Transportation Planning Division
based on their continuing
analysis of the State Highway
System. Pavement Preservation
Projects originate with the
Pavement Management Section of
the Materials Group. Many
Operational Improvement Projects
originate in the Districts while
the Traffic Group initiates the
ISTEA/ Hazard and Rail Crossing
Projects and the Traffic Signals
and Lighting Projects.
Bridge Reconstruction and
Replacement Projects and Bridge
Preservation Projects originate
in the Bridge Group.
The several types of projects in
the Roadside Development and
Improvements category originate
from the Districts, the Roadside
Development Section and the
Traffic Group with input from the
Maintenance Group. The Motor
Vehicles Department initiates
Ports of Entry Projects.
2.4 PROJECT REVIEWING /
APPROVING AGENCIES
Reviewing and approving agencies
must be an integral part of the
Project Team. Their input is
essential to establishing the
project's scope, schedule and
budget.
The composition of the group of
reviewing and approving agencies
is unique to each project. The
project initiating agency( ies)
generally will have some degree
of review and approval authority
on the project. Agencies having
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.14
_____________________________________________________________________________
financial involvement in a
project or having responsibility
for affected public lands will
normally have reviewing and
approving status for the project.
Agencies with regulatory
responsibilities will need to
review and approve the project.
Two Federal agencies, the Federal
Highway Administration and the
United States Forest Service,
have project review and approval
status with such frequency that
the approval requirements and
procedures between ADOT and these
agencies have been documented.
The involvement of other agencies
may be determined on a project-by-
project basis.
2.4.1 Federal Highway
Administration
The Federal Highway
Administration ( FHWA) is
responsible for administering the
Federal- aid program for funding
transportation projects. The
FHWA, therefore, must be
satisfied that all Federal
regulations, policies, and
procedures have been followed on
projects which are to have
Federal funding. To meet this
obligation, the FHWA monitors the
development of projects and
reviews the project documents for
adherence to Federal funding
requirements.
For certain classes of projects,
the FHWA has been authorized by
Congress to accept a project for
funding based upon a
certification that the project
meets Federal requirements. This
process is called " Certification
Acceptance".
2.4.2 FHWA Certification
Acceptance
The " Intermodal Surface
Transportation Efficiency Act of
1991" ( ISTEA, H. R. 2950) provides
greater flexibility on behalf of
state and local governments in
determining transportation
solutions via " Certification
Acceptance" procedures by
permitting FHWA to delegate
certain administrative
responsibilities to ADOT.
ADOT's Certification Acceptance
Program applies to all federal-aid
projects administered by ADOT
except those pertaining to:
• Transportation Planning and
Research projects as
contemplated under 23 U. S. C
134, 135 and 307.
• Highway Safety projects as
contemplated under 23 U. S. C.
Chapter 4.
• Interstate Highway System
projects.
• All new construction or
reconstruction projects on
the National Highway System
( NHS) over $ 10 million in
construction costs as
documented in the Project
Assessment or
Location/ Design Concept
Report.
• Any projects over $ 2 million
in construction costs which
are sponsored by local
agencies as documented in
the Project Assessment or
Location/ Design Concept
Report.
• Projects that ADOT and/ or
the FHWA elect to exclude
from the Certification
Acceptance Program.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.15
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• Projects contemplated in the
" Intelligent Vehicle Highway
System" Act of 1991 and any
Freeway Management System
projects.
• The approval or rejection of
individual consulting
engineering agreements,
which are administered by
ADOT under approved
alternate procedures
pursuant to 23 CFR 172.
Additional information on
Certification Acceptance
Procedures may be found in the
Agreement between ADOT and the
Federal Highway Administration
dated July 24, 1992.
2.4.3 United States Forest
Service
The United States Forest Service
has responsibility for the
National Forest lands throughout
the United States. Several routes
of the state highway system pass
through the National Forests.
Certain types of projects on
these routes will be subject to
the review and approval of the
Forest service. The ADOT/ USDA
Forest Service Highway Design
Guidelines Manual presents the
review and approval requirements
of the Forest Service.
Liaison with the various National
Forest administrators in Arizona
is provided on all projects by
the Roadside Development Section.
2.5 PROJECT DEVELOPMENT
ADMINISTRATION
2.5.1 Group Manager
The group manager is responsible
for technical and administrative
supervision of the group's
activities. Although not
involved in the day- to- day
activities of a project, the
group manager reviews the
assignments made by the technical
managers and works with the
technical managers to assure that
adequate staff are available to
meet the project requirements.
The group manager authorizes the
use of consultants to supplement
the group's staff in order to
meet project delivery
requirements. Certain of the
group managers serve on the
Project Review Board.
2.5.2 Deputy State Engineer for
Planning and Design
The Deputy State Engineer for
Planning and Design ( DSE/ P& E) is
responsible to the State Engineer
for administering the Project
Development Process. The Deputy
State Engineer for Planning and
Design chairs the Project Review
Board ( PRB), wherein the status
of projects is monitored, and
resolves issues which are
elevated by technical and/ or
project managers. The Deputy
State Engineer for Planning and
Design approves or recommends to
the Priority Planning Committee
requested changes in project
scope, budget and schedule. The
DSE/ P& E may consult with the PRB
on these requests.
2.5.3 Project Review Board
The Project Review Board ( PRB) is
chaired by the Deputy State
Engineer for Planning and Design
with the managers of the District
Operations Group and the
Statewide Project Management
Section as permanent members.
Two additional members chosen
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_____________________________________________________________________________
from the remaining group managers
serve on a rotating basis.
The Project Review Board members
assist the Deputy State Engineer
for Planning and Design in
overseeing the status of projects
and in resolving project issues
which have been elevated for
resolution through the escalation
process. It elicits information
from the Program and Project
Scheduling Section on projects
which significantly deviate from
their approved Project Work Plan
and evaluates the remedial
actions proposed by the project
manager.
A significant and very important
function of the Board is serving
as a mentoring and coaching body
for project managers.
The PRB members also assist the
Deputy State Engineer for
Planning and Design in the
efficient management of the
Highways Division's resources
throughout the Project
Development Process.
The agenda for the PRB meetings
will be set by the Deputy State
Engineer for Planning and Design
( DSE/ P& E). Project managers
submit items involving changes in
project scope, schedule, and
budget through P 2 S 2 . Potential
agenda items involving ADOT
policy and technical matters may
be submitted to the DSE/ P& E by
memorandum. The DSE/ P& E will
review submitted items, resolving
some and placing the others on
the PRB agenda.
Some items considered by the PRB
require the approval of the
Priority Planning Committee
and/ or the State Transportation
Board.
2.5.4 Finance Committee
The Finance Committee has been
established to assist the Deputy
State Engineer for Planning and
Design and the Project Review
Board in monitoring the impact of
individual project cost and
schedule changes on the overall
development of the Five- Year
Program.
The Finance Committee consists of
four members: one from the
Transportation Planning Division
Programming Branch, one from the
Administrative Services Division
Resource Management Group, one
representing the Deputy State
Engineer for Planning and Design,
and the Manager of Program and
Project Management Section who
chairs the Committee.
At its weekly meetings, the
Finance Committee reviews
financial implications of
proposed project changes with the
project manager and assists the
project manager in identifying
and assessing available funding
alternatives.
2.5.5 Priority Planning
Committee
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The Priority Planning Committee
( PPC) is a management committee
appointed by the Director in
accordance with the Arizona
Revised Statutes 1 . The PPC
currently comprises the Directors
of the Transportation Planning,
Highways, Aeronautics and
Administrative Services Divisions
plus the Deputy State Engineer
for Planning and Design as voting
members. The PPC also includes a
representative from the Arizona
Department of Commerce and from
the Joint Legislative Budget
Committee as ad hoc non- voting
members. The PPC holds public
meetings each month to review
proposed changes to the Five- Year
Program and to determine those
which will be recommended to the
Transportation Board for
approval.
2.5.6 MAG Life Cycle Office
The MAG ( Maricopa Association of
Governments) Life Cycle Office is
responsible for preparing the
semi- annual public certifications
of the costs of all planned MAG
System work including design and
construction, right- of- way, and
administrative items. The
certification process deals with
all changes in estimated costs on
the funded and non- funded
portions of the System to reflect
progress, work completion, and
projected project costs.
Proposed changes in scope,
schedule and budget for projects
on the MAG System must be
approved by the MAG Life Cycle
Office.
2.6 CONSULTANTS
The Arizona Department of
Transportation frequently
contracts with consultants to
provide professional services for
various studies, design, and
other project development
activities. The role and
responsibility of the consultant
will vary significantly depending
upon the needs of the Department.
A scope of work prepared by ADOT 2
as part of each consultant
contract describes project
requirements, needed professional
services, length of services, and
responsibilities of the parties
to the contract. Consultants may
serve as technical leaders on the
project team and may be the
project manager.
2.6.1 General ( Management)
Consultant
A general consultant may be
retained by ADOT to provide
professional engineering services
for various studies and to
prepare corridor general plans.
The general consultant may also
provide project management
1 Arizona Revised Statutes
28- 111 requires the Director
to appoint a departmental
committee to, among other
things, recommend priorities
on transportation facilities
construction projects; to
update and prepare annually a
long- range statewide
transportation facilities
construction program covering
the ensuing five fiscal years
for submission to the
transportation board; and to
review the program during the
fiscal year and to make
recommendations the
transportation board for any
priority changes in or
introduction of new projects
to the program.
2 The project manager is
responsible for coordinating
the preparation of consultant
scopes of work by the involved
technical units.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.18
_____________________________________________________________________________
services including production of
schedules and project information
for use by ADOT in selecting
engineering consultants, and
managing the design work of the
selected engineering consultants.
2.6.2 Limitations on use of
Management Consultants
It is ADOT policy to limit the
size of management consultant
contracts so that the span of
control of the management
consultant is not excessive, as
follows:
• Management consultants will
normally be used on
corridors where there is a
limited time- frame for
project development. Such
corridors should have
intensive design workloads
and an established
construction schedule.
• Management consultants may
be used for longer corridors
or multiple corridors to
complete the corridor
general plans and to oversee
a finite number of design
contracts.
• Management consultants are
not to be used for corridor
wide assignments of
undefined duration.
• Management consultants are
not to be used for isolated
design projects.
2.6.3 Engineering Consultants
¨ Project Consultants -
Responsible for an engineering
study or for the preparation of
multi- discipline design and
construction documents on a
specific project. The project
consultant reports to a project
manager assigned by the Deputy
State Engineer for Planning and
Design. All work prepared by
the project consultant is
subject to review by the
appropriate ADOT technical
units for quality assessment
and conformance with ADOT
procedures and project
requirements. The consultants
remain responsible for the
technical quality and accuracy
of their work.
¨ Specialty Consultants -
Responsible for preparing
reports, design, and plans for
an ADOT technical unit. The
specialty consultant reports to
a technical leader assigned by
the unit's technical manager.
All work prepared by the
specialty consultant is subject
to review by the technical unit
for quality assessment and
conformance with ADOT
procedures and project
requirements. The consultants
remain responsible for the
technical quality and accuracy
of their work.
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TABLE OF CONTENTS
3. PROJECT DEVELOPMENT PROCESS3.1
3.1 PROGRAM DEVELOPMENT PROCESS3.1
3.2 PLANNING AND PROGRAMMING PROCESS3.1
3.2.1 The Regional Transportation System Plan ( Step 1) 3.1
3.2.2 Regional Transportation Priority Recommendations
( Step 2) 3.1
3.2.3 State Transportation Plan ( Step 3) 3.1
3.2.4 Priority Programming Process ( Step 4) 3.2
3.2.5 Transportation Corridor Planning Studies ( Step 5) 3.2
3.2.6 Corridor Location Study ( Step 6) 3.2
3.2.7 Priority Programming
( Step 7) .......................................................... 3.5
3.2.8 Advance Acquisition of Right- of- Way ( Step 8) 3.6
3.3 PROJECT DEVELOPMENT PROCESS3.6
3.3.1 Scoping Phase - Project Location and Definition
( Step 9) 3.7
3.3.2 Priority Programming ( Step 7), Continued3.7
3.3.3 Design Phase and Pre- Construction Activities ( Step
10) 3.7
3.3.4 Design Phase - Right- of- Way Acquisition ( Step 11) 3.8
3.3.5 Design Phase - Advertising for Bid ( Step 12) 3.8
3.3.6 Design Phase - Award of Contract ( Step 13) 3.8
3.3.7 Construction Phase ( Step 14) 3.9
3.3.8 Construction Phase - Project Acceptance ( Step 15) 3.9
3.3.9 Operation and Maintenance Phase3.9
3.4 PROGRAM AND PROJECT MANAGEMENT3.9
3.4.1 Program Management3.9
3.4.2 Project Management3.10
3.4.3 Project Priority Process3.11
3.5 RESOURCE MANAGEMENT3.12
LIST OF FIGURES
Figure 3.1 ADOT PROGRAM DEVELOPMENT PROCESS3.3
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3. PROJECT DEVELOPMENT PROCESS
3.1 PROGRAM DEVELOPMENT PROCESS
The Project Development Process
for highways is a part of ADOT's
overall Transportation Program
Development Process. Regarding
highways, the Program Development
Process brings together ADOT's
Transportation Planning, Adminis-tration
Services, and Highways
Divisions and the State Transpor-tation
Board to identify highway
transportation needs, to develop
solutions to these needs, to de-termine
available funds, to es-tablish
priorities for these
highway needs, and to implement
the solutions on a priority ba-sis.
The Program Development Process
follows the requirements of the
Arizona Revised Statutes and the
various Federal laws and regula-tions
regarding the Federal- aid
program for highways. The Pro-gram
Development Process is fully
described in the ADOT publica-tions
Action Plan for State-
Funded Highway Projects on the
State System, 2nd Edition, and
Action Plan for Federal- Aid
Highway Projects.
The Program Development Process
is divided into the Planning and
Programming Process and the
Project Development Process. The
following steps briefly describe
these processes.
The Program Development Process
steps are presented in diagram
form in Figure 3.1.
3.2 PLANNING AND PROGRAMMING
PROCESS
The Planning and Programming
Process includes all the
transportation planning and
analysis required to identify and
prioritize transportation issues
at the state, regional and local
community levels. It includes
the study of transportation
systems, corridors and special
issue problems, and the
preparation of capital investment
programs for transportation
improvements. It provides
direction to the succeeding
project development process.
3.2.1 The Regional
Transportation System Plan ( Step
1)
The Regional Councils each
develop a Regional Transportation
System Plan based upon their
coordinated, comprehensive,
continuing planning process.
3.2.2 Regional Transportation
Priority Recommendations ( Step 2)
The Regional Councils make
priority recommendations for
Federal- aid transportation
projects in their region and for
the construction and improvements
of facilities on the State
Highway System.
3.2.3 State Transportation Plan
( Step 3)
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The Transportation Planning
Division prepares a State
Transportation Plan based on
their long- range planning
process. The State
Transportation Plan is presented
to the public for broad- scoped
comments and input.
The Transportation Planning
Division also prepares a Status
and Performance Report for the
state legislature every five
years. The purpose of the study
(" Needs Study") is to identify
the five- and ten- year
transportation needs of Arizona
and to evaluate the status and
condition of transportation
systems and analyze
transportation needs.
In addition to identifying
overall state transportation
needs and performance, the report
provides valuable technical
information as an adjunct to the
State Transportation Plan,
transportation corridor studies,
and the priority programming
process.
3.2.4 Priority Programming
Process ( Step 4)
The State Transportation Board
determines which corridors or
facilities should proceed on
through the planning process and
allocates funds for the
appropriate studies.
3.2.5 Transportation Corridor
Planning Studies ( Step 5)
The Transportation Planning
Division performs transportation
corridor planning studies as a
part of the systems planning
process. These studies focus on
areas of State transportation
network service deficiencies
identified in the State Plan and
Needs Study and provide analysis
on the effects of differing
levels and types of
transportation investments
applied to these links. The
Corridor Planning Studies are
generally performed by the
Transportation Planning Division
or its consultant. However, with
prior approval of ADOT, a local
government may be permitted to
conduct such a study for a State
transportation facility in
accordance with the Action Plan.
Final approval of the study
remains with ADOT.
The corridor planning study
products will include the type of
facility to be constructed,
treatment of transit, cost
estimates, funding sources, and
priority recommendations to the
Transportation Board. The
planning study may include a
preliminary determination of the
number and type of travel lanes
and general interchange
locations. The geographic limits
of the area within which a
facility can satisfy the purpose
of the corridor may also be
determined. In addition, major
impacts and benefits of the
corridor may be more clearly
defined and the degree of public
and local agency support may be
identified.
3.2.6 Corridor Location Study
( Step 6)
The Highways Division performs
corridor locations studies to
determine the preferred location
of the planned facility within
the general corridor established
in corridor planning studies of
Step 5. The location study will
evaluate and compare several
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_____________________________________________________________________________
discrete highway corridors
considering the social,
environmental, engineering, and
cost criteria that would be
applied to final roadway
alignment studies. At this stage
of development, however, data
gathering and detailed design
analyses are limited to those
levels necessary to identify any
" fatal flaws" and to compare the
alternative specific corridors.
The corridor location study will
recommend the best of
Note: Step 1 through 15 are discussed in greater
detail in the text of this Chapter.
Major projects such as new highways on new
locations may require all of the process steps
identified above. Less complex projects such
as the improvement or reconstruction of
existing facilities may require only selected
steps of the process as applicable to the
individual project.
* Federal Highway Administration approvals required
on Federal- Aid projects that are not covered under
Certification Acceptance Procedures.
Figure 3.1 ADOT PROGRAM DEVELOPMENT PROCESS
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February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 3.5
_____________________________________________________________________________
the specific corridors for the
facility.
Public involvement is sought
throughout the study process.
Public involvement activities are
conducted early in the process
where the project is explained,
the alternative corridors are
displayed and described, and
public input is received.
Depending upon the complexity of
the corridor location study,
additional public involvement
activities may be held as the
study progresses. The final
recommendation is circulated to
local jurisdictions with notices
to the public of the availability
of the final study results.
The corridor location study will
include environmental studies
necessary to prepare an
environmental overview of the
general corridor with appropriate
data for each specific corridor.
The objective of the
environmental overview is to
describe the social, economic,
and environmental character of
the study area, to identify
potential obstacles and issues
associated with the study area,
and to evaluate the study area
alternatives. The environmental
overview documents are developed
to the extent that the
environmental issues are
identified and that appropriate
courses of action are developed.
Having the study recommendations
for a preferred corridor
location, the State
Transportation Board may
designate a preliminary
transportation corridor through
adoption of a formal resolution.
The adopted resolution is filed
with the office of the
appropriate county recorder as an
official public notice of the
intended transportation facility.
Agreement to cooperate in
preservation of the designated
preliminary transportation
corridor is sought with agencies
having jurisdiction along the
corridor. The ADOT Highways
Division works with developers
and with planning and zoning
agencies to avoid encroachment
upon the designated preliminary
corridor. Where unavoidable
encroachment is imminent, the
integrity of the corridor may be
preserved through advance
acquisition for protective
purposes as described in Step 8
below.
3.2.7 Priority Programming
( Step 7)
The annual development of a five-year
project- specific capital
improvement program concludes the
transportation planning effort.
This program reflects the general
priority recommendations
identified in the State
Transportation Plan, the Status
and Performance Report prepared
by the Transportation Planning
Division, and corridor and
special planning studies.
Additional priority program input
is provided by ADOT Districts,
ADOT technical units, ADOT
management, local and regional
planning agencies including the
Councils of Governments, and the
general public.
The initial activity in the
prioritization process is the
preparation of a list of
potential projects. This list is
assembled by the Transportation
Planning Division from needs
identified in the transportation
planning effort including
recommendations from the various
ADOT technical units.
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The Highways Division analyzes
the potential projects to
establish the scope of the
project, to prepare a reasonable
estimate of the construction and
engineering costs, and to
determine the time frame required
to prepare the project for
construction. While these
" scoping activities" provide
input to the Priority Programming
Process, they are considered to
be a part of the Project
Development Process described in
Section 3.3.
Using the priority programming
process, the Transportation Board
selects those projects which are
to proceed through design, final
environmental documentation, full
right- of- way acquisition and
construction. The activities are
funded on a year- to- year basis,
but once the design process
starts, the project is expected
to move through to construction
even though construction might
not be scheduled within the five-year
program time frame.
3.2.8 Advance Acquisition of
Right- of- Way ( Step 8)
When Federal- aid funds for right-of-
way are involved on a state
highway project, advance right-of-
way acquisition requires prior
approval of the Director of the
Arizona Department of
Transportation and the Division
Administrator of the Federal
Highway Administration. On state
highway projects with no Federal-aid
involved in right- of- way, the
ADOT Director may authorize
advance acquisition. In either
case, acquisition of the land may
be authorized within the adopted
preliminary corridor ( Step 6)
utilizing the funds allocated by
the State Transportation Board
through the Priority Program
( Step 7).
When there is no Federal- aid
involved in right- of- way costs,
advance acquisition may be
carried out by a local public
agency after an approved route
plan has been adopted by the
governing board of the agency.
If Federal funds are used for
right- of- way costs, advance
acquisition must be specifically
authorized on a parcel- by- parcel
basis by the Federal Highway
Administration.
In all instances, advance
acquisition should take place
only if it is necessary to
prevent significant development
in the corridor, to relieve
financial hardships on property
owners, or if property owners are
suffering an undue hardship
because their property is in the
designated corridor.
Advance right- of- way acquisition
may take place until normal
project acquisition begins ( Step
11). This may cover a period of
several months to several years.
3.3 PROJECT DEVELOPMENT PROCESS
In general, the Project
Development Process includes all
the engineering, construction,
and administrative functions
required to advance a highway
transportation project from
conception through design and
construction and into the
operation and maintenance of the
project. The process is
accomplished through a systematic
interdisciplinary approach
involving the entire Highways
Division. Other ADOT divisions,
local, state, and federal
agencies, advisory organizations,
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 3.7
_____________________________________________________________________________
and engineering consultants may
also be involved.
Although the development process
varies somewhat depending on
specific project requirements and
varied interdisciplinary
approaches, it generally
comprises four distinct phases -
Project Scoping, Design and Pre-
Construction Activities,
Construction, and
Operation/ Maintenance Phases.
Data from the Scoping Phase is
used by the Transportation
Planing Division and the
Transportation Board in the
Priority Programming Process
( Step 7).
3.3.1 Scoping Phase - Project
Location and Definition ( Step 9)
The Scoping Phase activities are
applied to projects evolving from
the transportation corridor
studies and to individual
projects coming directly into the
priority planning process to meet
specific transportation needs.
3.3.1.1 Corridor Studies
Following adoption of the
preferred corridor location, the
study process continues with the
preparation of a Project
Implementation Report. This
report is intended to define the
individual sequential steps
necessary to develop the ultimate
corridor goals. The data from the
implementation report will be
used by the Transportation Board
in establishing funding
priorities for the individual
projects.
Preparation of the implementation
report often requires more
definitive design data than were
developed in the corridor
studies. These data are provided
through a Location/ Design Concept
study. ( If the highway location
is not an issue, only a Design
Concept study is required.) The
report on the concept study
presents the recommended
alignment within the preferred
corridor, engineering and
environmental issues associated
with the recommended alignment,
potential solutions for these
issues, the costs for developing
the corridor through construction
and the overall time frame for
completing the corridor to the
desired level.
3.3.1.2 Individual Projects
Individual projects are also
analyzed to establish the project
scope, the issues involved and
potential solutions, estimated
costs and the development time
frame to construction. For
individual projects, the analysis
is documented by a Scoping
Letter, a Project Assessment
Report, or by a Location/ Design
Concept Report.
As a part of Scoping Process,
environmental investigations are
prepared, preliminary right- of-way
constraints are established
and utility issues are determined
to fully define the development
of the project.
3.3.2 Priority Programming ( Step
7), Continued
Data from Step 9 ( the Scoping
Phase of Project Development) are
the basis for preparing the
annual Five- Year Highway
Construction Program ( Five- Year
Program). The Transportation
Planning Division and the State
Transportation Board use the
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_____________________________________________________________________________
individual project objectives,
estimated costs, and development
time frames to establish
priorities for constructing the
candidate projects. The Five- Year
Program becomes the guide for the
remainder of the Project
Development Process. ( It should
be noted that not all potential
projects are accepted into the
Five- Year Program after being
scoped. While they may be valid
projects, they may not rank high
enough in priority to be included
in the Five- Year Program.)
3.3.3 Design Phase and Pre-
Construction Activities ( Step 10)
Following acceptance into the
program, projects advance to the
Design Phase and Pre- Construction
Activities where a number of
design, environmental, utility
and right- of- way activities take
place.
The functions of the Design Phase
are generally performed by the
Arizona Department of
Transportation or its consultant.
However, with prior approval of
ADOT, a local government ( or its
consultant) may be permitted to
perform the functions of this
phase for a state highway
facility in accordance with the
appropriate Action Plan. Final
decisions for state highway
facilities are the statutory
responsibility of ADOT and the
State Transportation Board as
provided for in Title 28 of the
Arizona Revised Statutes, as
amended.
The design is finalized and
documents are prepared for bid
and construction. The
environmental documentation
process is completed, and
environmental recovery and
mitigation efforts are
undertaken. Utility plans and
agreements are prepared, right-of-
way plans are developed and
necessary rights- of- way are
acquired ( see Step 11) so that
utility and right- of- way
clearances can be given prior to
bid advertisement. Also during
this Phase, any joint project
agreements are developed and
executed. Special provisions are
developed and included in the
contract documents for
prospective bidders.
3.3.4 Design Phase - Right- of-
Way Acquisition ( Step 11)
The final project right- of- way
requirements are established as a
part of the project design
process. The Right- of- Way Group
in the Highways Division is
responsible for the coordination
and processing of all right- of-way
matters.
Advance right- of- way acquisition
may only occur as discussed in
Section 3.2.8 ( Step 8) and must
be accomplished in compliance
with the requirements of the
Arizona Revised Statutes and the
Federal Regulations.
Normal acquisition ( i. e., other
than advance acquisition) of
right- of- way can be authorized
after acceptance of the project
in the Five- Year Program.
Normally, all rights- of- way are
acquired prior to the
advertisement for construction
bids.
3.3.5 Design Phase - Advertising
for Bid ( Step 12)
Upon authorization of the
Director of the Highways
Division, or designee, the
project is advertised for bid in
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_____________________________________________________________________________
accordance with state law by the
Contracts and Specifications
Section of the Highways Division.
3.3.6 Design Phase - Award of
Contract ( Step 13)
All elements of each bid received
for the project within the
authorized time limit are
verified by the Contracts and
Specifications Section to
determine the lowest qualified
bid.
A staff recommendation regarding
award of the contract is made to
the Director of the Highways
Division. In consultation with
the ADOT Director, the Highways
Division Director makes a
recommendation to the State
Transportation Board regarding
the award of contract.
When a contract is to be awarded,
the State Transportation Board at
an open public meeting will make
the award to the lowest qualified
bidder. The Transportation Board
reserves the right to table or
reject the award of contract.
When a contract is not to be
awarded for a state highway
project, the State Transportation
Board determines what future
action is to be taken with regard
to the project.
3.3.7 Construction Phase ( Step
14)
After the contract is awarded,
the contractor is responsible for
constructing the project in
accordance with the terms,
conditions, and provisions set
forth in the contract.
Contract administration,
construction surveillance, and
work inspection for the project
is furnished by ADOT through the
appropriate District Engineer's
staff in conjunction with the
Construction Engineering Group's
staff.
Qualified local agencies may
request approval from FHWA and
ADOT to self administer the
construction inspection portion
of the local government
contracts.
3.3.8 Construction Phase -
Project Acceptance ( Step 15)
Final inspection and acceptance
of the completed project is the
responsibility of the District
Engineer in whose district the
project is located, or a
designee.
The Project Acceptance function
concludes the Construction Phase
and the ADOT Action Plan process
and procedures. However, the
Project Development Process
continues beyond the Construction
Phase for one year into the
operation and maintenance of the
facility.
3.3.9 Operation and Maintenance
Phase
Including a one- year period of
operation and maintenance in the
Project Development Process
ensures a high level of
communication and feedback to the
design and construction staff as
to the project quality and
appropriateness of the design and
construction solutions.
Feedback regarding the overall
operation and maintenance of the
State's highway system provides
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 3.10
_____________________________________________________________________________
input on highway needs to the
Program Development Process.
3.4 PROGRAM AND PROJECT
MANAGEMENT
Program and project management
are integral and essential to the
Project Development Process. It
is only through the proper
management the Highways
Division's program and each of
its constituent projects that
ADOT can achieve its goals of
reducing rework and unnecessary
work and improving the quality of
products and services to its
customers.
3.4.1 Program Management
3.4.1.1 Construction Program
The basis for managing the
program and its projects is the
Five- Year Construction Program
adopted each year by the State
Transportation Board. The
product of the Program
Development Process, this
document identifies each of the
construction projects programmed
for initiation in each of the
five ensuing fiscal years,
together with their estimated
costs. Specific project
expenditures budgeted for right-of-
way acquisition and for design
consultants may be included in
the program.
The Five- Year Program is a
primary tool for communicating
ADOT's plans with its external
and internal customers including
the travelling public, the
legislature, the local
governments, contractors and its
own staff. Adherence to the
program is an essential factor in
providing quality service to the
ADOT customers.
3.4.1.2 Managing the Program
Fiscal Year and amount of project
funding obligations of projects
are listed in the Five- Year
Program. A variety of
unanticipated issues can cause
schedule slippage or the need to
move the program to an earlier
start. Schedule impacts range
from failure to complete a
critical connecting component as
originally scheduled to a
decision to defer some part of
the original program. The State
Transportation Board looks to the
Priority Planning Committee to
monitor the Five- Year Program and
to recommend amendments to the
Program for Board approval.
Under the direction of the Deputy
State Engineer for Planning and
Engineering, the Program and
Project Scheduling Section ( P 2 S 2 )
establishes a Master Schedule of
all project activities necessary
to meet the project commitments
presented in the Five- Year
Program. The status of each
project activity is monitored to
determine variations from the
master schedule. P 2 S 2 also
maintains and monitors a file of
the current estimated costs for
each project in the Program.
These costs are monitored for
variations from the programmed
costs.
3.4.1.3 Program Changes
Individual project changes
affecting the scope, the
scheduled milestones or the
budgets are made by P 2 S 2 staff
upon the recommendation of the
project manager, acting for the
Project Team, with appropriate
approvals. Project changes
affecting the Program ( fiscal
year or significant cost
increases) require the approval
of the Deputy State Engineer for
Planning and Engineering, the
Priority Planning Committee, and
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the Transportation Board. ( See
Section 7.9 for additional
information regarding program
changes.)
3.4.2 Project Management
At ADOT, a " Project" is defined
as "... any effort having a scope,
schedule, budget, and desired
outcome satisfactory to the
Customer." Project Management is
defined as "... a process wherein
projects are developed from
concept to completion through a
team effort."
Management of a project is based
upon a Project Work Plan which
defines the project objectives,
the scope of the project and the
scope of each of the involved
technical units, a schedule of
activities necessary to
accomplish the project scope, and
the resources required for each
activity.
Project technical leaders are
responsible for their unit's
adhering to the Project Work
Plan. The project manager is
responsible for monitoring the
overall status of the project.
3.4.2.1 Project Work Plan Each
project has its own Project Work
Plan for each phase comprising
that phase's schedule of
activities, its scope of
services, and the budgets -- pre-construction
and construction --
as appropriate.
A Project Work Plan ( PWP) is
primarily an internal
communication device which allows
the technical units to coordinate
their work, avoiding rework and
unnecessary work caused by the
unilateral decisions and changes
made by another unit. It guides
the several ADOT technical units
in accomplishing their
assignments on each phase of a
project. On those project phases
having consultant involvement,
the PWP will guide the project
manager and Engineering
Consultant Services in
negotiating consultant contracts.
The PWP is a dynamic document,
able to accommodate the
inevitable changes arising from
the project design and discovery
process. First developed at the
early stages of the Scoping
Phase, the Scoping PWP is
modified as the scoping process
becomes better defined. After a
project is accepted into the
Five- Year Program, the final
activity of the Project Scoping
Phase is the development of the
Design Phase PWP.
The Design Phase Project Work
Plan supports the Five- Year
Program and details how the cost
and schedule commitments for
design and pre- construction
activities will be met.
The Construction and Maintenance
Phase Project Work Plans most
importantly detail the
coordination between the design
functions and the construction
and maintenance functions during
the remainder of the Project
Development Process.
The development and
administration of the Project
Work Plan is the responsibility
of the project manager. However,
the technical aspects-- scope,
activities, resource
requirements, and durations--
originate with the technical
units.
3.4.2.2 PWP Changes Adherence
to the PWP is monitored by the
project manager. With the
concurrence of the Project Team,
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the project manager is empowered
to make certain changes in the
project scope, schedule and
budget. Changes beyond the
limits of project manager
empowerment ( See Section 7.9.1)
require the approval of the
Deputy State Engineer for
Planning and Engineering. In
certain instances, the approval
of the Priority Planning
Committee or the State
Transportation Board may be
required. Authorized changes in
the PWP are forwarded to P 2 S 2 for
updating the program master
schedule. ( See Section 8 for
additional information regarding
Project Work Plan changes.)
3.4.3 Project Priority Process
Projects in the Five- Year Program
are generally given priority
based on the criticalness of
their schedules, i. e. the amount
of float in the schedule. The
less positive float in a project
schedule, the higher the
project's priority.
ADOT's resources are distributed
to project activities based upon
their relative priorities. Those
activities on a project's
critical path have the highest
priorities. For resource
allocation purposes, these
priorities are established at the
start of an activity. In
general, critical path activities
once started should not be
stopped or interrupted even
though the project's priority may
change during the duration of the
activity. The exception to the
rule is when a Critical Project
is at risk in meeting its
schedule. Critical Project
activities take priority over all
other projects even if it
requires stopping or interrupting
work on a critical path activity.
The priority classification of
Critical Project has been
established by ADOT in
recognition that a limited number
of projects may have an
overwhelming importance to the
public and require special
attention. Not more than five
percent of the projects in the
Five- Year Program will be
designated as Critical Projects.
It is not expected that a
project will be designated as
critical at the time of
programming unless there is a
schedule problem at that time.
The criteria to be used to
consider designating critical
projects are as follows:
Tier 1 ( Most Value)
¨ Meeting schedule commitments
to communities or other
customers;
¨ Avoiding funding lapses or
taking advantage of
opportunities for additional
funding;
¨ Emergency projects.
Tier 2
¨ Public sensitivity.
Tier 3
¨ Meeting important dates such
as canal dry- ups and weather-related
construction seasons;
¨ Avoiding critical events
such as major crowd generators
and mating seasons for
endangered animals;
¨ Potential structural
failures;
¨ Significant safely and
maintenance issues;
¨ Public health issues;
¨ Relationship to other
projects such as bidding
projects together.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 3.13
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Authority to designate critical
projects rests with the Project
Review Board ( PRB). Petitions to
designate a project as " critical"
may come from the project
manager, the State Engineer's
Office, a member of the PRB or
other ADOT Divisions. The
petition must include a
justification, based on one or
more of the criteria listed
above.
3.5 RESOURCE MANAGEMENT
Resource management is used by
ADOT to assure that its personnel
and capital resources are
utilized in a cost- effective and
efficient manner. The basis for
resource management is the
aggregate of all project
schedules and resource
requirements. By comparing
required resources with available
staff and consultants, reasonable
decisions can be made as to the
best distribution of work
assignments to meet the Five- Year
Program commitments.
Resource management is the
responsibility of the Deputy
State Engineer for Planning and
Engineering, or designee, working
with the group managers.
Meetings are held monthly,
following project progress
updates, to confirm the coming
month's workload for the groups
and to address the workload
projections for the succeeding
two months and a period of six
months thereafter. As a part of
the monthly program update,
Program and Project Scheduling
Section will analyze the total
program resource requirement and
make recommendations as to
additional resources required or
for adjustments to project
schedules.
For reasonable decisions to be
made regarding resource
allocations, it is necessary to
have realistic estimates of
resources required to complete
each activity, the remaining
duration of each activity, and
accurate assessments of the ADOT
staff and private consultants
available for project work.
The ADOT available staff each
month is the actual number of
people assigned to a unit less
estimated administrative time
( holidays, annual leave, sick
leave, etc.) and less so- called
" agency work" ( special reports
for the legislature, short- term
studies, minor updates of
standards, etc.). Any " agency
work" efforts which will
materially affect the
availability of staff for project
work should be managed and
monitored using the project
management procedures outlined in
this manual.
Preparing and updating estimates
of resource requirements and
durations for activities is the
responsibility of the technical
units. Group managers are
responsible for establishing
guidelines for estimating the
effort associated with the
various activities and component
work tasks normally performed by
their technical units. Technical
managers should monitor the
progress reported by their
technical leaders and stand ready
to counsel where corrective
action is required.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4. i
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TABLE OF CONTENTS
4. PROJECT SCOPING PHASE 4.1
4.1 SCOPING PHASE OBJECTIVE4.1
4.2 GENERAL4.1
4.3 PROGRAMMING 4.1
4.4 STRATEGIC PLAN FOR PROJECT SCOPING4.2
4.5 PROJECT TEAM4.3
4.6 CONSULTANTS4.3
4.7 INDIVIDUAL PROJECTS4.4
4.7.1 Scoping Letter4.4
4.7.2 Project Assessment4.6
4.7.3 Location/ Design Concept Report4.9
4.7.4 Controlling Design Criteria Evaluation4.13
4.8 CORRIDOR STUDIES4.14
4.8.1 Corridor Study Project Team 4.14
4.8.2 Corridor Study Field Review4.14
4.8.3 Preliminary Information4.15
4.8.4 Public Information Meeting4.15
4.8.5 Initial Corridor Report4.15
4.8.6 Final Corridor Location Report4.16
4.8.7 Project Implementation Report ( General Plan) 4.18
4.9 SCOPE CONSENSUS STUDY4.20
4.10 VALUE ANALYSIS4.20
4.11 ENVIRONMENTAL ANALYSIS4.20
4.12 RIGHT- OF- WAY ACTIVITIES4.21
4.13 UTILITY ISSUES4.21
4.14 OUTSIDE AGENCY COORDINATION4.22
4.15 PUBLIC COORDINATION4.22
4.16 PROJECT SCOPING REVIEW4.23
4.16.1 General4.23
4.16.2 Field Review4.23
4.17 SCOPING PHASE PROJECT WORK PLANS4.24
4.18 DESIGN PHASE PLANNING4.24
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_____________________________________________________________________________
4. PROJECT SCOPING PHASE
4.1 SCOPING PHASE OBJECTIVE
It is the Department's intent
that the Scoping Phase activities
will produce a well- defined engi-neering
approach to solving a
transportation issue with a rea-sonable
life- cycle cost consider-ing
impacts to the environment,
the community and the State as a
whole. The proposed scope, sched-ule,
and budget will be the basis
for establishing the project's
priority for implementation.
4.2 GENERAL
The Project Scoping Phase
includes all activities necessary
to advance a project from its
inception as a solution to a
transportation need through its
being accepted into the Five- Year
Highway Construction Program
( Five- Year Program).
In addition to the traditional
" design" groups ( Roadways,
Bridges, Traffic, etc.), the
Project Scoping Phase generally
includes involvement by a number
of other ADOT technical units
( Materials Group, Right- of- Way
Group, etc.), the District
Engineer, and outside agencies
whose efforts are essential to
establishing the full scope of a
project prior to programming. It
is the responsibility of the
project manager to coordinate and
lead the activities of the
Project Team which represents all
the ADOT units and outside
agencies necessary to take a
project successfully through the
Project Scoping Phase.
4.3 PROGRAMMING
Projects are developed as
solutions to transportation
needs. In today's environment,
it is inevitable that there are
more needs than the available
transportation funds can satisfy.
The Programming Process is
intended to select from the many
needs those projects which best
meet the criteria to be
candidates for the Five- Year
Program.
Potential highway projects come
from various organizations
including ADOT districts, ADOT
Transportation Planning Division,
( TPD) other state agencies, local
councils of governments, local
governments, and the federal
government. A list of potential
projects submitted by the
initiating entities is assembled
annually by TPD. Working with
the Highways Division's senior
staff, the TPD staff critique and
prioritize the potential
projects. From the list of
potential projects, TPD staff and
ADOT management prepare a short-list
of those projects deemed to
be the best candidates to be
considered for the Five- Year
Program.
The list of suggested potential
projects may include " Corridor
Studies" ( See Section 4.2 below)
which require significant
analysis before their component
projects can be considered as
candidates for the Five- Year
Program. TPD staff and ADOT
management evaluate the suggested
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.2
_____________________________________________________________________________
corridor programs and determine
those which warrant study.
TPD anticipates that a large pool
of candidate projects will be
required each year for the
ranking process which determines
those projects which will be
accepted into the Five- Year
Program. The size of the pool,
including those scoped projects
which didn't make the cut the
previous year, will be roughly
twice the number which are
expected to be included in the
Program.
The Five- Year Program is a policy
document and requires review and
comment by the public before it
is adopted by the State
Transportation Board.
Necessarily, the time between
determination of the candidate
projects and the initial ranking
of projects for the Five- Year
Program may be quite short.
However, it is the intent of the
Department that most of the
candidate projects will be fully
scoped for consideration in the
coming evaluation period.
Projects requiring a greater
scoping effort than can be
completed in the limited time
frame may need to be deferred to
a succeeding year for ranking.
4.4 STRATEGIC PLAN FOR PROJECT
SCOPING
Preparing scoping documents for
the candidate projects will
require developing a strategic
plan to meet the schedule for
project ranking and to
efficiently utilize ADOT's
resources.
Upon receiving the list of
candidate projects from TPD, the
managers of Statewide Project
Management Section ( SPMS) and
Pre- Design Management Section,
together with senior staff
members, assess the candidate
projects to determine a
presumptive level of scoping
documentation required for each
and, with TPD, to establish study
priorities. The simplest projects
may require only a Scoping Letter
( SL). More complicated projects
may require a Project Assessment
( PA), while major projects and
those with environmental issues
may require a Design Concept
Report ( DCR) or Location/ Design
Concept Report ( L/ DCR) and
Environmental Assessment ( EA).
PA's and SL's will not be
sufficient for projects requiring
environmental action.
Thus, in general, Scoping Letters
should be sufficient for defining
projects such as pavement overlay
projects, minor landscaping
projects, and rock- slope scaling
projects.
Design Concept Reports should
generally be prepared for all
individual major projects such as
roadway improvements, traffic
interchanges, bridge, rest areas
and points- of- entry especially
where new right- of- way is
required. Corridor improvements
will generally require a corridor
study with a Location/ Design
Concept Report ( or DCR where
location is not an issue)
including a strategy for
implementation.
In general, all other projects
should be defined by a Project
Assessment.
The manager of the Programming
and Project Scheduling Section
( P 2 S 2 ) works with SPMS staff and
the appropriate technical
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.3
_____________________________________________________________________________
managers to roughly appraise the
resource requirements and
activity durations for preparing
the scoping documents for the
candidate projects. Using these
data, P 2 S 2 prepares a tentative
master schedule for the scoping
documents to match the resources
available to ADOT, including
consultants. The Pre- Design
Management Section obtains TRACS
numbers for the studies.
4.5 PROJECT TEAM
The Deputy State Engineer for
Planning and Engineering assigns
each of the scoping studies to a
project manager who is
responsible for assembling and
coordinating the Project Team
through the scoping study to
final evaluation for acceptance
into the Five- Year Program and
then, as appropriate, through the
remainder of the Project Scoping
Phase and on through the Design,
Construction, and Maintenance
Phases. 1
Following appointment, the
project manager and a
representative of the Pre- Design
Sections consult with the
District Engineer and the project
initiator to review the candidate
project's problem statement and
to establish the objectives for
the study. Based on the study
objectives and the resource
requirements and activity
durations established in the
strategic planning, the project
manager contacts the managers of
the involved technical units to
appoint technical leaders to
represent their units on the
Project Team. The project
manager contacts the assigned
Team Members to begin the
preparation of the Scoping Phase
Project Work Plan. ( See Section
4.14.)
4.6 CONSULTANTS
ADOT's general policies regarding
the use of engineering
consultants is presented in
Section 2.6 of this manual.
Additional information on the use
of engineering consultants is
presented in
the discussion of Resource
Management in Section 3.5.
Consultants may be used to
perform any of the activities
associated with the Scoping
Process. Generally, the
consultants used for Scoping
Letters, Project Assessments, and
short time- frame Design Concept
Reports will be Specialty
Consultants working under " On-
Call Contracts". Since these
consultants are already selected
and under contract, they can be
quickly mobilized for the
individual scoping efforts. In
such cases, the cognizant
technical manager requests that
Engineering Consultant Section
issue a Task Order Request for
the required services. The
Scoping Phase Project Work Plan
serves as a basis for preparing
the consultant's scope of
services and for negotiating the
fees for the services.
On Corridor Studies and complex
Location/ Design Concept Reports
the multi- disciplinary
requirements and the longer time-frame
for the study permit the
selection of a consultant( s) for
1 It is intended that a
Project Team will remain with
a project from conception to
one year after end of
construction. Maintaining the
same Project Team members
throughout the life of a
project may be difficult,
particularly on long- duration
projects. However, Team
continuity must be a high
priority objective for the
Highways Division.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.4
_____________________________________________________________________________
the specific requirements of the
scoping study. In such cases,
the Pre- Design technical leader
requests Engineering Consultant
Section ( ECS) to initiate the
selection process. The Scoping
Phase Project Work Plan is the
basis for developing the
consultant scope of services and
for negotiating the fees for the
services.
4.7 INDIVIDUAL PROJECTS
During the Project Scoping Phase,
candidate individual projects are
developed to the extent necessary
to achieve Department consensus
on design concept, scope,
schedule and budget. Candidate
individual projects are highway
related " stand- alone" projects
which are candidates for being
considered for scheduling in the
Five- Year Highway Construction
Program for design and
construction. They may be
dependent upon or lead to other
projects; however, they are
scoped and evaluated as discrete
projects.
The scoping document produced to
define individual projects may be
a Scoping Letter, a Project
Assessment, or a Location/ Design
Concept Report.
4.7.1 Scoping Letter
A Scoping Letter is the simplest
method of documenting a project's
scope schedule and budget. It is
prepared for all projects not
requiring a detailed analysis for
project definition. Such
projects would include pavement
surface treatment, traffic
signals and lighting
improvements, bridge
preservation, etc. Such projects
typically do not involve
environmental issues nor
approvals by other agencies --
constraints which would require a
higher level of scoping document.
The appropriateness of a Scoping
Letter as a scoping method will
be established for each of the
projects in these categories
during the Strategic Planning
Stage described above.
Projects covered by a Scoping
Letter usually involve a single
technical discipline. Generally
they originate within a technical
unit of ADOT and usually require
commencement of construction in
the same fiscal year which they
were initiated. Funds for the
specific project are allocated
from a line item in the Five- Year
Program covering the general
category of project. Funding
approval is by the person
responsible to the Transportation
Board for the line item.
4.7.1.1 Scoping Letter Project
Team Preparation of a Scoping
Letter is the responsibility of
the technical unit most closely
associated with the preparation
of the construction documents.
Normally, the Deputy State
Engineer for Planning and
Engineering will appoint as
project manager the individual
who will be serving as technical
leader for the primary
discipline. As project manager,
the individual will maintain
liaison with the District and
with the initiating unit and will
coordinate the activities of the
Project Team, including the
preparation of a work plan for
the scoping effort. As technical
leader, the individual will set
up the field reconnaissance, as
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.5
_____________________________________________________________________________
required, and prepare the Scoping
Letter.
4.7.1.2 Scoping Letter Project
Objectives The project
objectives established by the
Project Team including the
project initiator and the
District serve as a guide for
determining the project scope.
The project objectives should
note any ancillary needs,
constraints or other pending
projects which may impact the
project scope.
4.7.1.3 Scoping Letter
Background Information The
Project Team should assemble
available and appropriate
background information on the
project including past and
present conditions at the site,
existing plans, maintenance
records, inspection records,
utility locations, right- of- way
constraints, basic traffic data,
other proposed projects in the
area, etc; -- information about
items or issues which may affect
the project scope, schedule and
budget.
4.7.1.4 Scoping Letter Field
Review Following assembly of the
background information, the
Project Team assesses the need
for a field review of the project
site. In general, a field review
will provide the Project Team
with valuable insight for project
definition; however, the
information available to the Team
may be such that little
additional knowledge will be
gained by a visit to the site and
a field review all ( or any) Team
members may not be effective use
of time.
4.7.1.5 Initial Scoping Letter
The Initial Scoping Letter ( ISL)
should be prepared immediately
following the field review, if
any. The ISL should be as brief
as practical but must contain the
project objective, the proposed
solution, and data to define the
scope, schedule and budget for
developing the project. The
technical content of the Scoping
Letter will be in accordance with
the policies and procedures
established by the individual
technical units. The general
requirements of a ISL are as
follows:
¨ Title should include project
identification data as provided
by Program and Project
Scheduling Section;
¨ Introduction contains the
project location information,
the purpose of the project and
the project objectives.
¨ Background Information is a
compilation of past and present
conditions at the site,
existing plans, maintenance
records, inspection records,
utility locations, right- of- way
constraints, basic traffic
data, etc, to the extent that
such data impact the project
scope, schedule, or budgets.
Non- pertinent information
should not be included.
¨ Project Scope is a simple
statement of the construction
work to be done including a
listing of the major components
of the work.
¨ Development Considerations
includes those items and
concerns which will have an
effect on the development
schedule. Statements regarding
the absence of environmental
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.6
_____________________________________________________________________________
issues, other agency approvals,
etc should be given here.
¨ Cost Estimates and Milestone
Schedule presents the estimated
construction cost and a
tentative milestone development
schedule.
4.7.1.6 Initial Scoping Letter
Review Upon completion of the
ISL, the Project Team circulates
the document to the managers of
the involved technical units and
to the District Engineer for
review and comment. Comments
received are addressed by the
Project Team. If consensus is
not achieved on the project as
defined in the ISL, or if
environmental or other approval
issues are identified, the Deputy
State Engineer for Planning and
Engineering ( DSE/ P& E) should be
notified and advised that a
higher level of scoping document
will be required to define the
project.
4.7.1.7 Final Scoping Letter
Upon resolution of comments, the
ISL is revised and a Design
Project Work Plan ( PWP) is
prepared by the Project Team.
The Final Scoping Letter is
circulated by the Project Team
for approval. Scoping Letters
are approved by the District
Engineer, the project initiator,
the project manager and the Group
Manager for the technical unit
where most of the design effort
will be done.
The project manager submits the
approved Scoping Letter for
funding approval to the person
responsible for the program line
item. A copy of the funding
approval is forwarded to the
Program and Project Scheduling
Section for information with the
design schedule.
4.7.2 Project Assessment
The purpose of the PA is to
obtain consensus on the potential
project scope, major design
features, milestone development
schedule, and development and
construction budgets based upon
available information and a field
review. The PA is the basis for
consideration of a project for
inclusion in the Five- Year
Program.
In general, a Project Assessment
( PA) is prepared for highway
projects requiring physical
construction of the roadway and
where environmental categorical
2 In accordance with 23 CFR
Part 771, actions that do not
individually or cumulatively
have a significant effect on
the environment are
Categorical Exclusions and
normally do not require an
Environmental Assessment or
Environmental Impact
Statement. Categorical
Exclusions are separated into
two groups. The first group
is a fixed list of actions
which do not require further
National Environmental Policy
Act ( NEPA) documentation. The
second group includes actions
which require documentation on
a case- by- case basis to
demonstrate that criteria for
Categorical Exclusions are
satisfied, and that
significant environmental
effects will not result.
Recommendations for
Categorical Exclusions are the
responsibility of the
Environmental Planning
Section.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.7
_____________________________________________________________________________
exclusions 2 are sufficient.
Individual projects defined
through the preparation of a
Corridor Study, a Design Concept
Report, or a Project
Implementation Report ( see
Section 4.6.3) do not require a
PA.
4.7.2.1 Project Assessment
Project Team The project manager
assigned by the DSE/ P& E works
with the Pre- Design technical
leader, the district
representative( s), and the
initiating agency to establish
the project objectives and to
develop a problem statement. The
project manager assembles the
Project Team ( Section 4.5) and
coordinates the preparation of a
preliminary work plan for the
Project Assessment including
scope, activity durations and
resource requirements. Project
Team roles and responsibilities,
coordination and review
procedures are established by
consensus at this time.
The technical preparation of the
Project Assessments is the
responsibility of the Pre- Design
Sections represented on the
Project Team and following the
detailed procedures for the PA
preparation in the Roadway Design
Guidelines Manual. Environmental
Categorical Exclusion ( CE)
documentation, if required, is
the responsibility of the
Environmental Planning Section
represented on the Project Team.
The project manager is
responsible for maintaining
liaison with the initiating
agency and other involved
agencies and for ensuring
adequate involvement of the other
Team members in the preparation
of the PA and CE.
Where appropriate, the Project
Team coordinates design
partnering activities with other
agencies.
The project manager is
responsible for assuring
adherence to the requirements of
the ADOT Action Plan.
4.7.2.2 Project Assessment
Project Objectives - The project
objectives established by the
Project Team including the
project initiator and the
District serve as a guide for
determining the project scope.
The project objectives should
note any ancillary needs,
constraints or other pending
projects which may impact the
project scope.
4.7.2.3 Project Assessment
Background Information - The
assembly of background
information is essential for
understanding the constraints
which will shape the project.
The Project Team is responsible
for obtaining all available
information on the past and
present conditions at the project
site, the existing horizontal and
vertical geometry, the roadway
typical cross section, any
bridges or drainage structures,
existing utility data, existing
right- of- way and the general
ownership of adjacent properties,
basic traffic data, and traffic
accident histories and analysis.
An analysis of the controlling
design criteria for the existing
facility is prepared as a part of
the background information.
Using the background information,
the Project Team develops a range
of engineering solutions which
will meet the project objectives
including phased implementation
of the ultimate solution.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.8
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4.7.2.4 Project Assessment
Field Review - The Pre- Design
technical leader should
coordinate with the project
manager and other Team members to
determine a date for a field
review and to develop a
preliminary list of those who
should be invited to attend the
field review. The schedule
should allow time prior to the
field review for data collection
and review, preliminary
controlling design criteria
evaluation, development of an
initial concept for the project
and preliminary design exception
recommendations.
Those attending the field review
should include representatives of
the District Engineer, the
project initiating section or
agency, involved ADOT groups or
sections, FHWA, and as
appropriate, the National Forest
Service, Nation Park Service,
Indian Tribes and Bureau of
Indian Affairs, local government
agencies, railroads, irrigation
districts, and utility companies.
At least two and preferably four
weeks notice should be given to
those invited.
The field review is an
opportunity to confirm the
project objectives with the
attendees and to solicit
information regarding any
additional problems that need to
be addressed as a part of the
project.
Prior to the field review, the
attendees should review any pre-programming
information received
from TPD and P 2 S 2 , the project
problem statement and objectives,
existing project background data,
and the preliminary Controlling
Design Criteria report.
It is recommended that a video
recording of the existing
facility be made in both
directions during the field
review drive- through of the
project. This will give a
permanent record of the existing
features -- particularly those of
major concern such as guardrail,
slopes, drainage structures,
right- of- way, utilities, etc.
that will impact the project.
Following the drive- through, the
initial concept and the
preliminary design exception
recommendations should be
discussed with the attendees.
If outside agencies are involved
in the project, a design
partnering meeting may be
appropriate to establish a common
approach to the project scoping
process.
From time- to- time, the field
review will disclose conditions
indicating that a PA will not
adequately define the project.
In such cases, the PA process
should be discontinued and the
preparation of a DCR should be
initiated using the escalation
process.
4.7.2.5 Initial Project
Assessment
The Initial Project Assessment
( IPA) should be prepared
immediately following the field
review. The required elements of
an IPA are as follows:
¨ The project identification
data as provided by
Transportation Planning
Division and/ or Program and
Project Scheduling Section;
¨ The project location
information, the purpose of the
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.9
_____________________________________________________________________________
project and the project
objectives.
¨ A compilation of past, present
and/ or existing conditions
including a description of the
roadway cross section, any
major or drainage structures,
the existing right- of- way and
the adjacent land ownership ( in
general terms), any utility
locations, basic traffic data,
etc.
¨ The major construction
components of the project in
general terms but with just
enough detail given to guide
the designer in preparing the
construction documents.
Depending upon the nature of
the project, specific items to
be presented include
preliminary horizontal and
vertical alignment, typical
roadway cross section,
preliminary pavement section, a
geotechnical assessment of the
site, borrow pit locations,
etc.
¨ A list of items and concerns
that will have an effect on the
development schedule and
content of the project
construction documents. Such
items may include utility
requirements, involvement of
outside agencies, seasonal
considerations, etc.
¨ Cost Estimates and Tentative
Development Time Frame to
provide the information
required by TPD to rate and
rank the project for inclusion
in the Five- Year Program. Cost
estimates should be based upon
the best available data with
estimating contingency factors
appropriate for the confidence
level of the estimated
quantities. Cost estimates
should be provided for design
activities, right- of- way
acquisition, ADOT- paid utility
relocations, and construction
costs including allowance for
field engineering and general
contingencies.
Upon completion of the IPA, the
Pre- Design technical leader
circulates the IPA to technical
managers and to involved outside
agencies for review and comment.
The project manager monitors the
timely return of comments and
their resolution. Comments
received are addressed by the
project team. If necessary to
achieve consensus, the project
manager will hold a comment
resolution meeting and/ or a
formal scope consensus meeting.
Lacking a consensus that the
project is adequately defined by
the IPA, the project manager will
advise the DSE/ P& E and P 2 S 2 and
recommend the preparation of a
DCR for the project.
4.7.2.6 Final Project
Assessment
The Final PA accompanied by a
Project Determination Memorandum
requesting Department Consensus
and approval, is circulated by
the project manager for consensus
by the managers of the Roadway,
Traffic, Transportation Support,
Structures, Materials, and Right-of-
Way Groups and the District
Engineer( s). Receiving a
consensus of the group managers
that the project is defined, the
Final PA is approved by the
Roadway Group Manager, The
District Engineer, the project
manager and the initiating
agency.
On projects involving state,
federal, or Indian land, the
landowner is included in the
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.10
_____________________________________________________________________________
scoping process. Local
governments will also be involved
whenever the project is located
within an incorporated area. A
written concurrence in the Final
PA is required from the public
landowner prior to circulation
for Department approval.
On federal- aid projects not
covered by Certification
Acceptance, FHWA is included in
the PA review process. The ADOT
approved PA is forwarded to FHWA
by the project manager with a
written request for agency
approval. Written FHWA
notification of acceptance of the
PA is considered federal
approval.
Unless the project location and
/ or design concept are issues
requiring additional study, the
approved PA becomes the basis for
inclusion in the Five- Year
Program and for subsequent
project design.
The project manager forwards the
approved PA to TPD for further
evaluation of the project as a
candidate for the Five- Year
Program. The estimated costs for
construction, utility relocation,
and right- of- way acquisition; a
time frame for design and
construction; and any known
schedule constraints, including
predecessor projects, should be
clearly identified in the
transmittal to TPD.
4.7.3 Location/ Design Concept
Report

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ARIZONA DEPARTMENT OF TRANSPORTATION
HIGHWAYS DIVISION
PROJECT DEVELOPMENT PROCESS MANUAL
Phoenix, Arizona
February, 2004
DOC 31- 077
$ 4.00
Pg 204
Copies of this
Project Development Process Manual
can be obtained from
Engineering Records, Arizona Department of Transportation
1655 West Jackson St., Phoenix, Arizona 85007
Document No. 31- 077 Price $ 4.00
204 Pages
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page i
_____________________________________________________________________________
TABLE OF CONTENTS
1. INTRODUCTION1.1
1.1 STATE HIGHWAY SYSTEM1.1
1.2 STATE ACTION PLAN1.1
1.3 TRANSPORTATION PLANNING PROCESS1.1
1.4 PROJECT DEVELOPMENT PROCESS1.2
1.5 PURPOSE OF MANUAL1.2
2. HIGHWAYS DIVISION ORGANIZATION AND RESPONSIBILITIES2.1
2.1 TECHNICAL ORGANIZATION2.1
2.1.1 Program and Project Management Group2.1
2.1.2 Roadway Group2.2
2.1.3 Bridge Group2.2
2.1.4 Traffic Engineering Group2.5
2.1.5 Right- of- way Group2.5
2.1.6 Transportation Support Group2.6
2.1.7 Materials Group2.7
2.1.8 Districts Operations Group2.7
2.1.9 Construction Group2.8
2.1.10 Maintenance Group2.8
2.2 PROJECT ORGANIZATION2.8
2.2.1 Project Team2.8
2.2.2 Technical Manager2.9
2.2.3 Project Manager2.9
2.2.4 Technical Leader 2.10
2.3 PROJECT CUSTOMERS2.10
2.3.1 General2.10
2.3.2 Metropolitan Planning Organizations2.10
2.3.3 Councils of Government2.11
2.3.4 Arizona State Parks Department2.11
2.3.5 Parkway, Historic, and Scenic Roads Advisory Committee2.11
2.3.6 ADOT Technical Units2.11
2.4 PROJECT REVIEWING / APPROVING AGENCIES2.12
2.4.1 Federal Highway Administration 2.12
2.4.2 FHWA Certification Acceptance2.12
2.4.3 United States Forest Service2.13
2.5 PROJECT DEVELOPMENT ADMINISTRATION2.13
2.5.1 Group Manager2.13
2.5.2 Chief Deputy State Engineer2.13
2.5.3 Project Review Board2.14
2.5.4 Finance Committee2.14
2.5.5 Priority Planning Committee2.14
2.5.6 MAG Life Cycle Office2.15
2.6 CONSULTANTS2.15
2.6.1 General ( Management) Consultant2.15
2.6.2 Limitations on use of Management Consultants2.16
2.6.3 Engineering Consultants2.16
3. PROJECT DEVELOPMENT PROCESS3.1
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page ii
_____________________________________________________________________________
3.1 PROGRAM DEVELOPMENT PROCESS3.1
3.2 PLANNING AND PROGRAMMING PROCESS3.1
3.2.1 The Regional Transportation System Plan ( Step 1) 3.1
3.2.2 Regional Transportation Priority Recommendations ( Step
2) 3.1
3.2.3 State Transportation Plan ( Step 3) 3.1
3.2.4 Priority Programming Process ( Step 4) 3.2
3.2.5 Transportation Corridor Planning Studies ( Step 5) 3.2
3.2.6 Corridor Location Study ( Step 6) 3.2
3.2.7 Priority Programming ( Step 7) 3.5
3.2.8 Advance Acquisition of Right- of- Way ( Step 8) 3.6
3.3 PROJECT DEVELOPMENT PROCESS3.6
3.3.1 Scoping Phase - Project Location and Definition ( Step
9) 3.7
3.3.2 Priority Programming ( Step 7), Continued3.7
3.3.3 Design Phase and Pre- Construction Activities ( Step 10) 3.7
3.3.4 Design Phase - Right- of- Way Acquisition ( Step 11) 3.8
3.3.5 Design Phase - Advertising for Bid ( Step 12) 3.8
3.3.6 Design Phase - Award of Contract ( Step 13) 3.8
3.3.7 Construction Phase ( Step 14) 3.9
3.3.8 Construction Phase - Project Acceptance ( Step 15) 3.9
3.3.9 Operation and Maintenance Phase3.9
3.4 PROGRAM AND PROJECT MANAGEMENT3.9
3.4.1 Program Management3.9
3.4.2 Project Management3.10
3.4.3 Project Priority Process3.11
3.5 RESOURCE MANAGEMENT3.12
4. PROJECT SCOPING PHASE 4.1
4.1 SCOPING PHASE OBJECTIVE4.1
4.2 GENERAL4.1
4.3 PROGRAMMING 4.1
4.4 STRATEGIC PLAN FOR PROJECT SCOPING4.2
4.5 PROJECT TEAM4.3
4.6 CONSULTANTS4.3
4.7 INDIVIDUAL PROJECTS4.4
4.7.1 Scoping Letter4.4
4.7.2 Project Assessment4.6
4.7.3 Location/ Design Concept Report4.10
4.7.4 Controlling Design Criteria Evaluation4.13
4.8 CORRIDOR STUDIES4.14
4.8.1 Corridor Study Project Team 4.14
4.8.2 Corridor Study Field Review4.14
4.8.3 Preliminary Information4.15
4.8.4 Public Information Meeting4.15
4.8.5 Initial Corridor Report4.15
4.8.6 Final Corridor Location Report4.16
4.8.7 Project Implementation Report ( General Plan) 4.18
4.9 SCOPE CONSENSUS STUDY4.20
4.10 VALUE ANALYSIS4.20
4.11 ENVIRONMENTAL ANALYSIS4.20
4.12 RIGHT- OF- WAY ACTIVITIES4.21
4.13 UTILITY ISSUES4.21
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page iii
_____________________________________________________________________________
4.14 OUTSIDE AGENCY COORDINATION4.22
4.15 PUBLIC COORDINATION4.22
4.16 PROJECT SCOPING REVIEW4.23
4.16.1 General4.23
4.16.2 Field Review4.23
4.17 PROJECT WORK PLANS4.24
4.18 DESIGN PHASE PLANNING4.24
5. DESIGN PHASE AND PRE- CONSTRUCTION ACTIVITIES 5.1
5.1 INITIATION OF DESIGN PHASE AND PRE- CONSTRUCTION ACTIVITIES5.1
5.2 QUALITY PLANS5.3
5.2.1 Quality Principles 5.3
5.2.2 Section Quality Plans5.3
5.2.3 Project Quality Plans5.4
5.3 DESIGN PROCESS5.4
5.4 DESIGN START- UP5.5
5.4.1 Design Kick- off Meeting5.5
5.4.2 Temporary Rights of Entry5.5
5.4.3 Survey Permit5.6
5.4.4 Field Data Collection5.6
5.5 VALUE ANALYSIS5.6
5.6 DESIGN DEVELOPMENT STAGES5.7
5.6.1 Stage I Documents 5.7
5.6.2 Stage II Documents 5.8
5.6.3 Stage III Documents 5.15
5.6.4 Final R/ W Plans5.20
5.6.5 Stage IV Documents 5.20
5.6.6 Final Plans, Specifications, and Estimates ( 100%
Complete) 5.21
5.7 QUANTITIES AND COST ESTIMATES5.22
5.8 DESIGN REVIEW5.22
5.8.1 General5.22
5.8.2 Design Review Distribution5.23
5.8.3 Review Procedures5.25
5.8.4 Field Review ( Stage III Review) 5.27
5.9 PRE- AWARD STAGE5.27
5.9.1 PS& E Approval ( Federal- Aid Projects Not Covered by
Certification Acceptance) 5.28
5.9.2 PS& E Approval ( Federal- Aid Projects under Certification
Acceptance) 5.28
5.10 PROJECT APPROVAL5.29
5.11 BID ADVERTISEMENT5.29
5.11.1 Advertisement5.29
5.11.2 Addenda5.32
5.12 PRE- BID CONFERENCE5.32
5.13 SITE VISITS5.32
5.14 AWARD OF CONSTRUCTION CONTRACT5.33
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page iv
_____________________________________________________________________________
6. CONSTRUCTION PHASE AND MAINTENANCE PHASE 6.1
6.1 GENERAL6.1
6.2 INITIATION OF CONSTRUCTION PHASE6.1
6.3 AUTHORITIES AND RESPONSIBILITIES6.1
6.3.1 Authority of the Engineer6.1
6.3.2 Resident Engineer6.2
6.3.3 District Engineer6.3
6.3.4 Project Manager6.3
6.4 CONSTRUCTION ADMINISTRATION6.3
6.4.1 Pre- Construction Conference6.3
6.4.2 Initial Partnering Conference6.4
6.4.3 Start of Construction6.5
6.4.4 Right- of- Way Clearance and Utility Relocation6.5
6.4.5 Construction Progress Meetings6.5
6.4.6 Interpretation of Plans and Specifications6.6
6.4.7 Post- Design Services6.6
6.4.8 Contract Modifications6.9
6.4.9 Closeout Partnering Conference6.11
6.4.10 Final Inspection6.11
6.4.11 Contractor Claims6.12
6.5 CONSTRUCTION PHASE PROJECT WORK PLAN6.12
6.6 INITIATION OF MAINTENANCE PHASE6.13
6.7 MAINTENANCE PHASE ACTIVITIES6.13
6.7.1 As- Built Drawings6.13
6.7.2 Operation and Maintenance Support6.13
6.8 PROJECT EVALUATION6.14
7. COMMUNICATION7.1
7.1 GENERAL7.1
7.2 COMMUNICATION WITH THE MEDIA7.1
7.2.1 General7.1
7.2.2 Contacts to the Media7.1
7.2.3 Contacts from the Media7.2
7.3 GENERAL PUBLIC COMMUNICATION 7.2
7.4 PROJECT TEAM COMMUNICATION 7.3
7.4.1 Project Planning7.3
7.4.2 Project Partnering Conference7.3
7.4.3 Project Partnering Agreement7.4
7.4.4 Informal Communication7.4
7.5 PROJECT MILESTONE MEETINGS7.5
7.6 PERIODIC MEETINGS7.5
7.6.1 Between Project Manager and Team Technical Leaders7.5
7.6.2 Between Technical Manager and Team Technical Leaders7.5
7.7 ISSUE RESOLUTION 7.5
7.7.1 General7.5
7.7.2 Issue Types7.6
7.7.3 Issue Resolution Process7.6
7.8 PROJECT WORK PLAN ( PWP) 7.7
7.8.1 Scoping Phase Project Work Plan7.8
7.8.2 Design Phase Project Work Plan7.9
7.8.3 Construction Phase Project Work Plan7.10
7.8.4 Maintenance Phase Project Work Plan7.10
7.9 PROJECT CHANGES7.11
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page v
_____________________________________________________________________________
7.9.1 Project Manager Empowerment7.11
7.10 PROJECT REPORTS7.12
7.10.1 Reports Distributed by Program and Project Scheduling
Section7.12
7.10.2 Standard Primavera Reports7.13
7.10.3 Non- Standard Primavera Reports7.14
7.11 REPORTING PROJECT PROGRESS7.14
8. PROJECT DESIGN REFERENCES8.1
8.1 ADOT PUBLICATIONS8.1
8.1.1 Standard Drawings8.1
8.1.2 Specifications8.1
8.1.3 Manuals ( Current Editions) 8.1
8.1.4 Policies, Guides, and Procedures8.2
8.2 AASHTO PUBLICATIONS8.2
8.3 FHWA PUBLICATIONS8.3
8.4 OTHER SOURCE PUBLICATIONS8.3
8.4.1 Arizona State Parks8.3
8.4.2 Transportation Research Board ( TRB) 8.3
8.4.3 U. S. Department of Labor 8.3
8.4.4 The Industrial Commission of Arizona8.3
8.4.5 Soil Conservation Service8.3
8.4.6 Central Arizona Coordinating Committee8.4
8.5 ENVIRONMENTAL REQULATIONS AND POLICIES8.4
8.5.1 Federal8.4
8.5.2 State8.4
8.5.3 Local8.5
8.6 HANDICAP ACCESS8.5
LIST OF TABLES
Table 5.1 SUMMARY OF DOCUMENTATION FOR PROJECT
CLEARANCE/ APPROVAL ....................................... 5.30
LIST OF FIGURES
Figure 2- 1 HIGHWAYS DIVISION ORGANIZATIONAL STRUCTURE 2.3
Figure 3- 1 ADOT PROGRAM DEVELOPMENT PROCESS3.3
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page vi
_____________________________________________________________________________
APPENDICES
APPENDIX A DISTRIBUTION OF DOCUMENTS
A. 1 SCOPING PHASEA. 1
A. 1.1 SCOPING LETTERA. 1
A. 1.2 PROJECT ASSESSMENT, DESIGN CONCEPT REPORTA. 1
A. 1.3 CORRIDOR STUDY AND IMPLEMENTATION REPORTA. 2
A. 1.4 TRAFFIC ANALYSIS REPORTA. 2
A. 1.5 ENVIRONMENTAL DOCUMENTATION ( CE, EA, EIS) A. 3
A. 1.6 AASHTO REPORTA. 3
A. 2 DESIGN PHASEA. 4
A. 2.1 PLANS, SPECIAL PROVISIONS, COST ESTIMATES AT STAGES II,
III, AND IV DESIGN REVIEWSA. 4
A. 2.2 FINAL PLANS, SPECIAL PROVISIONS, COST ESTIMATES ( PS& E) A. 5
A. 2.3 CROSS SECTIONSA. 5
A. 2.4 ENVIRONMENTAL REPORTS/ MEMORANDAA. 5
A. 2.5 ENVIRONMENTAL MITIGATION MEASURES SUMMARYA. 6
A. 2.6 DRAINAGE REPORTA. 6
A. 2.7 BRIDGE FOUNDATION REPORTA. 7
A. 2.8 STRUCTURE SELECTION REPORTA. 7
A. 2.9 GEOTECHNICAL REPORTA. 7
A. 2.10 MATERIALS DESIGN REPORT/ PAVEMENT DESIGNSA. 7
A. 2.11 SPECIAL REQUESTS BY ORGANIZATIONA. 8
APPENDIX B DOCUMENTS REQUIRED FOR REVIEW SUBMITTALS
APPENDIX C PROJECT TASK RESPONSIBILITY MATRIX
C. 1 PROJECT SCOPING PHASE TASK RESPONSIBILITIESPage C. 1
C. 2 DESIGN PHASE AND PRE- CONSTRUCTION ACTIVITIES TASK
RESPONSIBILITIESPage C. 7
C. 3 CONSTRUCTION PHASE TASK RESPONSIBILITIESPage C. 14
C. 4 OPERATION AND MAINTENANCE PHASE TASK RESPONSIBILITIESPage C. 17
APPENDIX D PROJECT DEVELOPMENT PROCESS FLOW CHARTS
D. 1. PROJECT ISSUE RESOLUTION PROCESSD. 1
D. 2. SCOPING PHASED. 3
D. 3. DESIGN PHASE AND PRE- CONSTRUCTION ACTIVITIESD. 17
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 1. i
_____________________________________________________________________________
TABLE OF CONTENTS
1. INTRODUCTION1.1
1.1 STATE HIGHWAY SYSTEM1.1
1.2 STATE ACTION PLAN1.1
1.3 TRANSPORTATION PLANNING PROCESS1.1
1.4 PROJECT DEVELOPMENT PROCESS1.2
1.5 PURPOSE OF MANUAL1.2
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 1.1
_____________________________________________________________________________
1. INTRODUCTION
1.1 STATE HIGHWAY SYSTEM
The Arizona Department of Trans-portation
( ADOT) is responsible
for providing a statewide network
of highways within Arizona which,
by statute, is the State Highway
System. To meet this responsi-bility,
the State Transportation
Board sets priorities for needed
construction or reconstruction
projects within funds available,
and the Department plans and con-tracts
to add these improvements
to the State Highway System. The
planning and development process
for state- funded and federal- aid
transportation facilities in Ari-zona
includes the identification
of public need; the determination
of funding; and the planning,
development, and construction of
appropriate transportation facil-ities.
The legal responsibilities of the
Arizona Department of Transporta-tion
are established in Title 28
of the Arizona Revised Statutes.
It is within the framework of
the statutes that the Department
plans, constructs, and maintains
the State Highway System.
In order to discharge its
statutory responsibilities, the
Arizona Department of
Transportation is organized into
the Divisions of Motor Vehicle,
Transportation Planning,
Highways, Aeronautics, and
Administrative Services with non-divisional
staff units in
support.
Two of these divisions have
primary responsibilities in the
State Highway System. Planning
of the Highway System is the
responsibility of the
Transportation Division while the
implementation of the System and
its operation and maintenance are
the responsibility of the
Highways System.
1.2 STATE ACTION PLAN
Two ADOT publications outline the
functions and processes the
Department uses for developing
and administering the State
Highway System program. They
are: the Action Plan for State-
Funded Highway Projects on the
State System, dated July 8, 1983,
2nd edition ( August 12, 1985),
and the Action Plan for Federal-
Aid Highway Projects, dated
September 26, 1988.
In general terms, the Action
Plan( s) sets forth the ADOT
organizational structure, the
assignment of responsibilities
within the organization, and the
procedures followed by the
Department in planning and
developing highway projects. The
Action Plan( s) identifies and
discusses the decision- making
process for proposed highway
projects being advanced through
transportation planning and
project development, and
describes how and when public and
other agency participation is
obtained as well as how social,
economic, and environmental
impact considerations are
addressed.
1.3 TRANSPORTATION PLANNING
PROCESS
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 1.2
_____________________________________________________________________________
The Transportation Planning
Process, as outlined in the ADOT
Action Plan( s) involves a
systematic analysis of transpor-tation
issues at the state, re-gional
and community levels. It
includes studies of transporta-tion
systems, corridors, and spe-cial
improvements. The process is
future oriented and provides di-rection
to the succeeding Highway
Development Process.
One of the products of the Trans-portation
Planning Process is a
five- year priority program for
transportation capital improve-ments.
Of particular importance
to the Highway Development Pro-cess
described in this Manual is
the Five- Year Highway Construc-tion
Program which identifies the
highway projects programmed for
each or the five ensuing fiscal
years from date of publication.
Adoption and publication of the
five- year program is under the
direction and authority of the
State Transportation Board.
1.4 PROJECT DEVELOPMENT PROCESS
The Project Development Process
is administered by the Highways
Division of ADOT and includes the
location, design, and construc-tion
of new highways and related
facilities as well as reconstruc-tion
or improvement of the exist-ing
system, all in accordance
with the Five- Year Highway Con-struction
Program.
1.5 PURPOSE OF MANUAL
The purpose of this Manual is to
describe the Project Development
Process and to provide a guide
for the management of project
scoping activities, project de-sign
and production of construc-tion
documents, administration of
construction contracts, and ini-tial
project operation and main-tenance
in accordance with ADOT
policy.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2. i
_____________________________________________________________________________
TABLE OF CONTENTS
2. HIGHWAYS DIVISION ORGANIZATION AND RESPONSIBILITIES2.1
2.1 TECHNICAL ORGANIZATION2.1
2.1.1 Program and Project Management Group2.1
2.1.2 Roadway Group2.2
2.1.3 Bridge Group2.2
2.1.4 Traffic Engineering Group2.5
2.1.5 Right- of- way Group2.5
2.1.6 Transportation Support Group2.6
2.1.7 Materials Group2.7
2.1.8 Districts Operations Group2.7
2.1.9 Construction Group2.8
2.1.10 Maintenance Group2.8
2.2 PROJECT ORGANIZATION2.8
2.2.1 Project Team2.8
2.2.2 Technical Manager2.9
2.2.3 Project Manager2.9
2.2.4 Technical Leader 2.10
2.3 PROJECT CUSTOMERS2.10
2.3.1 General2.10
2.3.2 Metropolitan Planning Organizations2.10
2.3.3 Councils of Government2.11
2.3.4 Arizona State Parks Department2.11
2.3.5 Parkway, Historic, and Scenic Roads Advisory
Committee2.11
2.3.6 ADOT Technical Units2.11
2.4 PROJECT REVIEWING / APPROVING AGENCIES2.12
2.4.1 Federal Highway Administration 2.12
2.4.2 FHWA Certification Acceptance2.12
2.4.3 United States Forest Service2.13
2.5 PROJECT DEVELOPMENT ADMINISTRATION2.13
2.5.1 Group Manager2.13
2.5.2 Deputy State Engineer for Planning and Design2.13
2.5.3 Project Review Board2.14
2.5.4 Finance Committee2.14
2.5.5 Priority Planning Committee2.14
2.5.6 MAG Life Cycle Office2.15
2.6 CONSULTANTS2.15
2.6.1 General ( Management) Consultant2.15
2.6.2 Limitations on use of Management Consultants2.16
2.6.3 Engineering Consultants2.16
LIST OF FIGURES
Figure 2- 1 Highways Division Organizational Structure 2.3
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.1
_____________________________________________________________________________
2. HIGHWAYS DIVISION ORGANIZATION AND RESPONSIBILITIES
2.1 TECHNICAL ORGANIZATION
The Intermodal Transportation
Division of ADOT is responsible
for implementing and administer-ing
the Project Development Pro-cess
from project inception
through construction. Figure 2- 1
presents the organizational
structure of the Division,
reflecting the organizational
concept, the lines of authority
and communication, and the
relationship between all
organizational entities.
Management and administrative
responsibility for advancing a
highway project through the
Project Development Process lies
with the Statewide Project
Management Group or the Valley
Transportation Project Management
Group which report to the State
Engineer through their respective
Deputy State Engineers.
Responsibility for technical
aspects of the Project
Development Process is
distributed throughout the
fourteen groups and nine
districts which comprise the
Division. In addition to the two
Project Management groups, these
are Right- of- Way, Transportation
and Management Support, Roadway,
Traffic Bridge, Transportation
Planning, Maintenance,
Construction, Materials,
Equipment Services, MAG Life
Cycle, Phoenix District
Construction, and the nine
Districts. A description of
responsibilities in the project
development process for each of
these groups and their component
sections follows below.
2.1.1 Program and Project
Management Group
The Program and Project
Management Group is responsible
for the day- to- day management and
monitoring of the project
development process. The group
comprises:
¨ Statewide Project Management
Section - Provides technical
supervision and leadership of
the project managers for all
ADOT projects including those
managers who are assigned to
other groups/ sections.
¨ Local Government Section -
Responsible for providing
technical planning and
engineering liaison and
coordination between ADOT and
all local agencies involved in
planning and developing local
government federal- aid highway
construction projects
throughout the State.
¨ Program and Project Scheduling
Section - Responsible for
coordinating project schedules,
balancing ADOT resource
requirements and for providing
management reports for
monitoring program and project
progress. Provides technical
assistance in preparing project
work plans especially the work
breakdown structure and
resource requirements.
2.1.2 Roadway Group
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.2
_____________________________________________________________________________
The Roadway Group is responsible
for the design and development of
concepts, plans, and estimates
for highway construction
projects. Frequently the Group
will
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.3
_____________________________________________________________________________
Figure 2- 1 Highways Division
Organizational Structure
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.4
_____________________________________________________________________________
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.5
_____________________________________________________________________________
utilize engineering consultants
to assist in these design
services. From time- to- time,
personnel will be assigned from
the group as project managers
reporting to Statewide Project
Management Section.
Responsibility for management and
administration of technical
activities rests with the group
manager.
¨ Pre- Design Program Management
Section- Responsible for the
management of the Roadway Pre-
Design Sections' on- call design
consultants.
¨ Pre- Design Sections -
Responsible for the technical
management and production of
Project Assessment Reports for
candidate highway projects.
¨ Studies Section - Responsible
for the technical management
and production of Highway
Corridor Study Reports and
Design Concept Reports for
candidate highway projects.
¨ Design Program Management
Section - Responsible for the
management of the Group's on-call
design consultants.
Develops and maintains design
guidelines and standards for
the Group.
¨ Design Sections - Responsible
for the technical management
and production of roadway
designs and plans.
¨ Roadway Support Section -
Responsible for the
coordination and operation of
the group's CADD system and
responsible for the maintenance
and operation of the highway
design library.
¨ Environmental Planning Section
- Responsible for the technical
management of and preparation
of environmental studies and
reports. Responsible for
scheduling and directing public
meetings and hearings relative
to the development of
transportation projects.
¨ Roadside Development Section -
Responsible for the technical
management of and preparation
of designs and plans for
roadside improvements including
rest areas, landscaping, state
parks access and interior
roads, and review of projects
on Parkways, Historic, and
Scenic Roads. Coordinates ADOT
activities with the U. S. Forest
Service.
2.1.3 Bridge Group
The Bridge Group is responsible
for the design and preparation
of plans for bridge and highway
structures, bridge maintenance,
hydrology, and drainage design.
Occasionally, the Group will
utilize engineering consultants
to assist in these design
services. From time- to- time,
group personnel will be assigned
as project managers reporting to
Statewide Project Management
Section. Responsibility for
management and administration of
technical activities rests with
the group manager.
¨ Bridge Design Sections -
Responsible for the technical
management and preparation of
designs and plans for bridges
and appurtenant highway
structures.
¨ Bridge Drainage Section -
Responsible for the technical
management and preparation of
analyses, designs and plans for
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.6
_____________________________________________________________________________
highway drainage and of
analyses of stream flows.
¨ Bridge Management Section -
Responsible for an ongoing
inspection program to determine
bridge conditions and
maintenance requirements.
Initiates requests for major
refurbishing and repair
projects on bridges.
¨ Bridge Technical Section -
Responsible for developing and
maintaining computer design
programs and the coordination
and operation of the group's
CADD system.
2.1.4 Traffic Engineering Group
The Traffic Engineering Group is
responsible for the preparation
of design exception accident
analysis, construction zone
traffic control plan,
intersection analysis, traffic
signal and illumination plans,
signing plans, and pavement
marking plans. Frequently the
Group will utilize engineering
consultants to assist in these
design services. From time- to-time,
group personnel will be
assigned as project managers
reporting to Statewide Project
Management Section.
Responsibility for management and
administration of technical
activities rests with the group
manager.
¨ Traffic Studies Section -
Responsible for the technical
management of analyses and
designs for the traffic
engineering aspects of highway
projects.
¨ Electrical Design Production
Section - Responsible for the
technical management of designs
and preparation of plans for
the lighting and traffic signal
aspects of highway projects.
¨ Striping and Traffic Control
Section - Responsible for the
technical management of designs
and preparation of plans for
the pavement markings and
maintenance of traffic aspects
of highway projects.
¨ Sign Construction Review and
Preliminary Design Review
Section - Responsible for the
technical management of designs
and preparation of plans for
signing aspects of highway
projects.
¨ Traffic Records Section -
Responsible for assembling and
maintaining data on the
location and causes of traffic
accidents on the state
highways. These data are
available for guidance on
reconstruction and safety
improvement projects.
2.1.5 Right- of- way Group
The Right- of- Way Group is
responsible for acquiring rights-of-
way required for state
transportation facilities.
Frequently, the group will
utilize right- of- way consultants
to assist in providing these
services. Responsibility for
management and administration of
technical activities rests with
the group manager.
¨ Plans Sections - Responsible
for the technical management of
and the production of right- of-way
plans, acquisition
documents, and condemnation
exhibits.
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¨ Titles Section - Responsible
for the technical management of
and preparation of property
title reports, existing right-of-
way reports, and
Transportation Board
resolutions.
¨ Appraisal Section - Responsible
for the technical management of
and the preparation of
appraisals of property required
for highway right- of- way.
¨ Acquisition Sections -
Responsible for the technical
management and performance of
right- of- way negotiations
including acquisition and
relocation, and for agreements
with other public agencies.
When required, initiates
condemnation action to obtain
right- of- way by eminent domain.
¨ Public Liaison Section -
Responsible for the technical
management of the right- of- way
advance acquisition program,
for monitoring and scheduling
right- of- way acquisition
activities. Provides right- of-way-
informational assistance
to the public and participates
in special acquisitions.
¨ Fiscal Section - Responsible
for making payments for
property acquired, provides
accounting and budget control,
and right- of- way consultant
contracting liaison services.
¨ Property Management -
Responsible for the technical
management of properties owned
by the Department and the
demolition and disposal of
acquired improvements to clear
the right- of- way.
¨ Utility and Railroad
Engineering Section -
Responsible for coordinating
proposed highway improvements
with utility and railroad
companies, resolving conflicts
between utility or railroad
facilities and highway
improvements to clear the
right- of- way for construction.
Responsible for preparing and
processing agreements with
utility and railroad companies.
2.1.6 Transportation and
Management Support Group
The Transportation Support Group
is responsible for those
development functions which
directly support engineering
design. These support functions
include photogrammetry and
mapping, engineering surveys,
environmental planning, roadside
development, and utility and
railroad engineering. Frequently
the several sections will utilize
consultants to assist in these
activities. From time- to- time,
personnel will be assigned from
the group as project managers
reporting to Statewide Project
Management Section.
Responsibility for management and
administration of technical
activities rests with the group
manager.
¨ Photogrammetry and Mapping
Section - Responsible for
technical management of and
providing aerial photography,
photogrammetry, and a variety
of engineering maps for support
of engineering studies, design,
and other functions within
ADOT.
¨ Engineering Surveys Section -
Responsible for technical
management of and for providing
field survey services to
support mapping, engineering
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.8
_____________________________________________________________________________
studies, design and other
functions within ADOT.
¨ Engineering Consultant Section
- Assists ADOT managers in
administering the pre- award and
post- award processes for
engineering consultant
contracts and for developing
and processing Joint Project
Agreements.
¨ Special Programs Section - A
staff engineering section
charged with carrying out
programs related to ADOT's
Quality and Productivity
Initiative including Value
Analysis, Pre- Construction
Partnering, Constructability,
and QPI Training and
Facilitation.
¨ Contracts and Specifications
Section - Responsible for cost
estimates for the various
phases of a project,
preparation of specifications,
assembly of bidding documents,
and for advancing each
construction project through
the advertisement for bids and
the award of construction
contract by the ADOT
Transportation Board.
2.1.7 Materials Group
The Materials Group is
responsible for providing
geotechnical analyses, pavement
design, and materials testing
services. The group is
responsible for preparation of
materials reports in support of
engineering studies, design and
other functions within ADOT.
Frequently the several sections
will utilize consultants to
assist in these activities. From
time- to- time, personnel from the
group will be assigned as project
managers reporting to Statewide
Project Management Section.
Responsibility for management and
administration of technical
activities rests with the group
manager. Technical management of
the several sections' technical
activities remains with the
section manager.
¨ Materials Testing Sections -
Responsible for the quality
assurance testing of materials
used in construction.
¨ Materials Geotechnical Sections
- Responsible for geotechnical
investigations, sampling,
testing, analysis and design of
highway excavations and
embankments.
¨ Materials Pavement Section -
Responsible for the analysis
and design of highway
pavements. Responsible for
establishing pavement
performance criteria and
pavement management procedures.
Assists the districts in
recommending pavement
preservation projects.
2.1.8 Districts Operations Group
¨ Equipment Section - Responsible
state- wide for the day- to- day
maintenance of all the rolling
equipment ( vehicles, etc.)
assigned to ADOT.
¨ Engineering Districts - The
State of Arizona is divided
into ten districts which are
involved in the initial
identification of highway needs
and are responsible for
construction, operation and
maintenance of the highway
facilities within their
jurisdiction. The Districts
provide advisory and review
input to the Scoping and Design
Phases of the Project
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Development Process from the
standpoint of project intent,
constructability, operation,
and maintenance of highway
facilities. The Districts are
actively involved in project
progress throughout the
process; however, their most
significant involvement comes
in the technical management of
the Construction and
Maintenance Phases of the
Project Development Process.
The operation and maintenance
functions of the Districts are,
in essence, major Customers of
the Project Development Process.
From time- to- time, personnel from
the Districts will be assigned as
project managers reporting to
Statewide Project Management
Section. Responsibility for
management and administration of
technical activities rests with
the group manager, the District
Engineers and the
section/ function managers.
Although organized to meet their
individual missions, in general,
each district has construction,
operation and maintenance
functions. ( Note: In the Phoenix
area, one district is responsible
for construction activities only.
A second district is responsible
for maintenance and operation of
the highways in this area.)
Overall coordination and
supervision of the several
districts is provided by the
Group manager.
District Construction Functions
- Responsible for the technical
management of project
construction activities within
the district and for reviewing
project plans for
constructability.
District Operation Functions -
Responsible for operational
aspects of the state highways
in the district including
reviewing and approving
encroachment and access
permits, freeway management
systems, roadway signing and
striping, and traffic signal
and lighting systems and
responsible for reviewing
project plans for traffic
operation aspects. Operational
improvement projects originate
from these units.
District Maintenance Functions
- Responsible for the day- to-day
maintenance of the highways
within the district and
responsible for reviewing
project plans for
maintainability and for
advising design units of
maintenance problems. Together
with the design units, they are
responsible for resolving
conflicts involving design and
maintenance considerations.
2.1.9 Construction Group
The Construction Group is
responsible for the state- wide
coordination of construction
activities including managing the
construction partnering
activities, monitoring field
reports, making contractor
payments, disseminating
construction process improvements
to other groups, and providing
construction specialists in
support of the district
construction staffs. Involvement
in the Project Development
Process is through the districts.
2.1.10 Maintenance Group
The Maintenance Group is
responsible for the state- wide
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.10
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coordination of maintenance
activities, including maintenance
planning, permits, maintenance
contracts and purchasing, natural
resources, interstate highway
signing and lighting installation
and maintenance, water and waste
water engineering and maintenance
operations. These activities are
in support of the district
maintenance staffs. Involvement
in the Project Development
Process is through the districts.
2.2 PROJECT ORGANIZATION
2.2.1 Project Team
The guiding philosophy for ADOT's
Project Development Process is
that of " Teamwork". The Project
Team is the entity through which
a project is developed. The
Project Team is empowered to
achieve the Department's
objectives of quality, customer
satisfaction, and efficiency.
While individual Team members
have responsibilities for unique
aspects of the project, the
Project Team as a whole is
responsible for the total
project.
To achieve the Project Team's
responsibilities, ADOT believes
that the Project Team should
include not only the technical
staff who are actively involved
in preparing the project
documents, but also the project
customers including the project
initiators and the
reviewing/ approving agencies.
Project Team members are expected
to fulfill the roles which they
have been assigned in a
professional and efficient
manner; to focus on the
objectives of the project; to
deliver on commitments in a
timely manner; and to treat the
other Project Team members with
respect and courtesy.
Management of projects through
the Project Development Process
is provided by the three key
management roles of technical
manager, project manager and
technical leader. Staff filling
these roles are supervised by
group managers, and the Deputy
State Engineer for Planning and
Design.
Project requirements are provided
by the Project Customer and by
the Reviewing / Approving
Agencies.
The general responsibilities of
the various participants of the
project organization are outlined
below. More specific
responsibilities are discussed in
the following chapters on the
development process. In all
cases, individuals are granted
the authority to carry out their
responsibilities.
2.2.2 Technical Manager
The technical manager is
responsible for scheduling and
assigning work within each
organizational unit and commits
the resources necessary to each
project. The technical manager
monitors the status of project
work within the unit and adjusts
assignments and personnel as
required to meet the unit's
delivery date commitments.
The technical manager is
responsible for the technical
quality of the unit's work and
establishes technical standards,
policies and procedures. The
technical manager oversees
training of the unit's staff.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.11
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The technical manager is usually
the manager of a group, section
or district.
2.2.3 Project Manager
ADOT highway development projects
are assigned to a project manager
by the Deputy State Engineer for
Planning and Design on the
recommendation of the manager of
Statewide Project Management
Section ( SPMS). For major or
complex projects, the project
manager generally will be from
SPMS while for other projects,
particularly those involving
primarily one discipline ( e. g.,
structures), the project manager
may be assigned from a unit or
section of that discipline ( i. e.,
Bridge Group, District, etc.).
The project manager has the
responsibility for ensuring that
all project development steps are
followed and for leading,
assisting, delegating, and
coordinating work efforts as
required for the successful
completion of all work tasks to
meet the project objectives. The
project manager is responsible
for assuring that all Project
Team members and stakeholders are
adequately involved in the
project development process.
The project manager has specific
responsibility for the project
scope, schedule and budgets and,
with Project Team consensus, is
empowered to make decisions
regarding these items within the
limitations presented in Chapter
7 of this Manual. The project
manager monitors progress on
project activities and assists
the technical leader in taking
action to correct negative
variances from the approved plan.
The project manager is also
responsible for coordinating and
communicating with external
agencies involved in the project.
Those technical, policy and
project issues affecting the
project which have not been
resolved by Project Team
consensus become the
responsibility of the project
manager to escalate to resolution
using the Issue Resolution
Process described in Chapter 7.
2.2.4 Technical Leader
A technical leader is assigned to
a project by the technical
manager of each discipline
involved in the project. The
technical leader is in
responsible charge of that
discipline's work performed on
the project including technical
content and quality, project
staff work- task assignments and
budgets, and schedule. The
technical leader monitors and
reports progress on assigned
project activities and is
responsible for taking action to
correct negative variances from
planned progress.
2.3 PROJECT CUSTOMERS
2.3.1 General
The customer is an integral part
of the project development
process by establishing the
purpose of the project. The
customer is the entity which
instigates the project and/ or
will use, operate, or maintain
the completed project. Any
agency which has approval
authority or a direct financial
interest in the project is a
customer.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.12
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For transportation projects, the
primary customer is the
taxpayer/ user. On most projects,
the District operations and
maintenance staff, through the
District Engineer, will represent
the taxpayer/ user and will have a
significant role in the project
development.
Many highway projects are
initiated by other State agencies
such as the Arizona State Park
Department and the Arizona
Parkway, Historic, and Scenic
Roads Advisory Committee; and by
outside agencies such as
Metropolitan Planning
Organizations, Councils of
Governments, and individual local
governments. Depending on the
nature of the project, these
customers may wish to be directly
involved on the Project Team;
generally, they are represented
by the District staff or by an
ADOT liaison unit.
The construction contractor,
although an essential part of the
Project Development Process, by
virtue of being the recipient of
the construction plans is another
significant customer of the
process.
2.3.2 Metropolitan Planning
Organizations
There are three Metropolitan
Planning Organizations ( MPOs) in
Arizona covering the Phoenix,
Tucson, and Yuma metropolitan
areas. MPOs have a minimum base
population of 250,000. The
function of an MPO is to provide
a planning entity with broad
public exposure and the
capability to prepare long- range
planning consistent with the
area's needs. Under Federal
regulations, this planning is
necessary to support Federal
funding requests. Serving large
population areas, the three
Arizona MPOs are the source of
demand for many large capital
projects. The MPOs assist in
formulating and defining the
needs for capital projects.
Currently, the project
proponents work through their
respective Councils of
Governments ( COGs). The COGs
forward requests for projects
through the ADOT District
Engineer.
2.3.3 Councils of Government
Arizona has six Councils of
Government ( COGs). Among other
functions, the COGs coordinate
requests for local transportation
projects, thus eliminating
duplication and minimizing voids.
The COGs also concentrate local
efforts, accomplishing more than
could be done as separate
agencies.
Project requests from local
governments move from the
originator though the applicable
COG to the District Engineer.
The COGs ensure that all local
agencies and the originator are
in agreement. They also ensure
resolution of any conflicts with
other proposals. Each COG acts
as a clearing house and
establishes priorities for
requests going to ADOT. The six
Arizona COGs are an integral and
key link in the ADOT Project
Development Process.
2.3.4 Arizona State Parks
Department
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ADOT is responsible for providing
design, design review, and
construction engineering services
to the State Parks Department for
roads connecting the parks to the
State roadways, roads within the
parks, and other on- site
facilities.
The Roadside Development Section
provides liaison between ADOT and
the State Parks Department. A
list of priorities for new or
reconstructed park roads,
established by the State Parks
Board, is submitted through
Roadside Development Section to
the Transportation Planning
Division for inclusion in the
Five- Year Program.
2.3.5 Parkway, Historic, and
Scenic Roads Advisory Committee
This Committee has responsibility
for recommending to the
Transportation Board the
designation of a highway as a
Parkway, an Historic Road or a
Scenic Road. The Committee also
has the responsibility for
recommending the placement of
Tourist Signs. The Committee is
comprised of six citizens
appointed by the Governor, a
member of the State Tourism
Advisory Board, and one
representative each from the
Historical Society, the State
Parks Department, and ADOT.
The Committee establishes the
priorities for tourist signing
projects and for studies related
to signing and designation of
parkways and scenic or historic
roads. The recommendations are
forwarded to TPD for inclusion in
the Five- Year Program.
2.3.6 ADOT Technical Units
ADOT technical units initiate
many projects in meeting their
responsibilities for the State
Highway System. Corridor Studies
are requested by the
Transportation Planning Division
based on their continuing
analysis of the State Highway
System. Pavement Preservation
Projects originate with the
Pavement Management Section of
the Materials Group. Many
Operational Improvement Projects
originate in the Districts while
the Traffic Group initiates the
ISTEA/ Hazard and Rail Crossing
Projects and the Traffic Signals
and Lighting Projects.
Bridge Reconstruction and
Replacement Projects and Bridge
Preservation Projects originate
in the Bridge Group.
The several types of projects in
the Roadside Development and
Improvements category originate
from the Districts, the Roadside
Development Section and the
Traffic Group with input from the
Maintenance Group. The Motor
Vehicles Department initiates
Ports of Entry Projects.
2.4 PROJECT REVIEWING /
APPROVING AGENCIES
Reviewing and approving agencies
must be an integral part of the
Project Team. Their input is
essential to establishing the
project's scope, schedule and
budget.
The composition of the group of
reviewing and approving agencies
is unique to each project. The
project initiating agency( ies)
generally will have some degree
of review and approval authority
on the project. Agencies having
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.14
_____________________________________________________________________________
financial involvement in a
project or having responsibility
for affected public lands will
normally have reviewing and
approving status for the project.
Agencies with regulatory
responsibilities will need to
review and approve the project.
Two Federal agencies, the Federal
Highway Administration and the
United States Forest Service,
have project review and approval
status with such frequency that
the approval requirements and
procedures between ADOT and these
agencies have been documented.
The involvement of other agencies
may be determined on a project-by-
project basis.
2.4.1 Federal Highway
Administration
The Federal Highway
Administration ( FHWA) is
responsible for administering the
Federal- aid program for funding
transportation projects. The
FHWA, therefore, must be
satisfied that all Federal
regulations, policies, and
procedures have been followed on
projects which are to have
Federal funding. To meet this
obligation, the FHWA monitors the
development of projects and
reviews the project documents for
adherence to Federal funding
requirements.
For certain classes of projects,
the FHWA has been authorized by
Congress to accept a project for
funding based upon a
certification that the project
meets Federal requirements. This
process is called " Certification
Acceptance".
2.4.2 FHWA Certification
Acceptance
The " Intermodal Surface
Transportation Efficiency Act of
1991" ( ISTEA, H. R. 2950) provides
greater flexibility on behalf of
state and local governments in
determining transportation
solutions via " Certification
Acceptance" procedures by
permitting FHWA to delegate
certain administrative
responsibilities to ADOT.
ADOT's Certification Acceptance
Program applies to all federal-aid
projects administered by ADOT
except those pertaining to:
• Transportation Planning and
Research projects as
contemplated under 23 U. S. C
134, 135 and 307.
• Highway Safety projects as
contemplated under 23 U. S. C.
Chapter 4.
• Interstate Highway System
projects.
• All new construction or
reconstruction projects on
the National Highway System
( NHS) over $ 10 million in
construction costs as
documented in the Project
Assessment or
Location/ Design Concept
Report.
• Any projects over $ 2 million
in construction costs which
are sponsored by local
agencies as documented in
the Project Assessment or
Location/ Design Concept
Report.
• Projects that ADOT and/ or
the FHWA elect to exclude
from the Certification
Acceptance Program.
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• Projects contemplated in the
" Intelligent Vehicle Highway
System" Act of 1991 and any
Freeway Management System
projects.
• The approval or rejection of
individual consulting
engineering agreements,
which are administered by
ADOT under approved
alternate procedures
pursuant to 23 CFR 172.
Additional information on
Certification Acceptance
Procedures may be found in the
Agreement between ADOT and the
Federal Highway Administration
dated July 24, 1992.
2.4.3 United States Forest
Service
The United States Forest Service
has responsibility for the
National Forest lands throughout
the United States. Several routes
of the state highway system pass
through the National Forests.
Certain types of projects on
these routes will be subject to
the review and approval of the
Forest service. The ADOT/ USDA
Forest Service Highway Design
Guidelines Manual presents the
review and approval requirements
of the Forest Service.
Liaison with the various National
Forest administrators in Arizona
is provided on all projects by
the Roadside Development Section.
2.5 PROJECT DEVELOPMENT
ADMINISTRATION
2.5.1 Group Manager
The group manager is responsible
for technical and administrative
supervision of the group's
activities. Although not
involved in the day- to- day
activities of a project, the
group manager reviews the
assignments made by the technical
managers and works with the
technical managers to assure that
adequate staff are available to
meet the project requirements.
The group manager authorizes the
use of consultants to supplement
the group's staff in order to
meet project delivery
requirements. Certain of the
group managers serve on the
Project Review Board.
2.5.2 Deputy State Engineer for
Planning and Design
The Deputy State Engineer for
Planning and Design ( DSE/ P& E) is
responsible to the State Engineer
for administering the Project
Development Process. The Deputy
State Engineer for Planning and
Design chairs the Project Review
Board ( PRB), wherein the status
of projects is monitored, and
resolves issues which are
elevated by technical and/ or
project managers. The Deputy
State Engineer for Planning and
Design approves or recommends to
the Priority Planning Committee
requested changes in project
scope, budget and schedule. The
DSE/ P& E may consult with the PRB
on these requests.
2.5.3 Project Review Board
The Project Review Board ( PRB) is
chaired by the Deputy State
Engineer for Planning and Design
with the managers of the District
Operations Group and the
Statewide Project Management
Section as permanent members.
Two additional members chosen
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_____________________________________________________________________________
from the remaining group managers
serve on a rotating basis.
The Project Review Board members
assist the Deputy State Engineer
for Planning and Design in
overseeing the status of projects
and in resolving project issues
which have been elevated for
resolution through the escalation
process. It elicits information
from the Program and Project
Scheduling Section on projects
which significantly deviate from
their approved Project Work Plan
and evaluates the remedial
actions proposed by the project
manager.
A significant and very important
function of the Board is serving
as a mentoring and coaching body
for project managers.
The PRB members also assist the
Deputy State Engineer for
Planning and Design in the
efficient management of the
Highways Division's resources
throughout the Project
Development Process.
The agenda for the PRB meetings
will be set by the Deputy State
Engineer for Planning and Design
( DSE/ P& E). Project managers
submit items involving changes in
project scope, schedule, and
budget through P 2 S 2 . Potential
agenda items involving ADOT
policy and technical matters may
be submitted to the DSE/ P& E by
memorandum. The DSE/ P& E will
review submitted items, resolving
some and placing the others on
the PRB agenda.
Some items considered by the PRB
require the approval of the
Priority Planning Committee
and/ or the State Transportation
Board.
2.5.4 Finance Committee
The Finance Committee has been
established to assist the Deputy
State Engineer for Planning and
Design and the Project Review
Board in monitoring the impact of
individual project cost and
schedule changes on the overall
development of the Five- Year
Program.
The Finance Committee consists of
four members: one from the
Transportation Planning Division
Programming Branch, one from the
Administrative Services Division
Resource Management Group, one
representing the Deputy State
Engineer for Planning and Design,
and the Manager of Program and
Project Management Section who
chairs the Committee.
At its weekly meetings, the
Finance Committee reviews
financial implications of
proposed project changes with the
project manager and assists the
project manager in identifying
and assessing available funding
alternatives.
2.5.5 Priority Planning
Committee
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The Priority Planning Committee
( PPC) is a management committee
appointed by the Director in
accordance with the Arizona
Revised Statutes 1 . The PPC
currently comprises the Directors
of the Transportation Planning,
Highways, Aeronautics and
Administrative Services Divisions
plus the Deputy State Engineer
for Planning and Design as voting
members. The PPC also includes a
representative from the Arizona
Department of Commerce and from
the Joint Legislative Budget
Committee as ad hoc non- voting
members. The PPC holds public
meetings each month to review
proposed changes to the Five- Year
Program and to determine those
which will be recommended to the
Transportation Board for
approval.
2.5.6 MAG Life Cycle Office
The MAG ( Maricopa Association of
Governments) Life Cycle Office is
responsible for preparing the
semi- annual public certifications
of the costs of all planned MAG
System work including design and
construction, right- of- way, and
administrative items. The
certification process deals with
all changes in estimated costs on
the funded and non- funded
portions of the System to reflect
progress, work completion, and
projected project costs.
Proposed changes in scope,
schedule and budget for projects
on the MAG System must be
approved by the MAG Life Cycle
Office.
2.6 CONSULTANTS
The Arizona Department of
Transportation frequently
contracts with consultants to
provide professional services for
various studies, design, and
other project development
activities. The role and
responsibility of the consultant
will vary significantly depending
upon the needs of the Department.
A scope of work prepared by ADOT 2
as part of each consultant
contract describes project
requirements, needed professional
services, length of services, and
responsibilities of the parties
to the contract. Consultants may
serve as technical leaders on the
project team and may be the
project manager.
2.6.1 General ( Management)
Consultant
A general consultant may be
retained by ADOT to provide
professional engineering services
for various studies and to
prepare corridor general plans.
The general consultant may also
provide project management
1 Arizona Revised Statutes
28- 111 requires the Director
to appoint a departmental
committee to, among other
things, recommend priorities
on transportation facilities
construction projects; to
update and prepare annually a
long- range statewide
transportation facilities
construction program covering
the ensuing five fiscal years
for submission to the
transportation board; and to
review the program during the
fiscal year and to make
recommendations the
transportation board for any
priority changes in or
introduction of new projects
to the program.
2 The project manager is
responsible for coordinating
the preparation of consultant
scopes of work by the involved
technical units.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 2.18
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services including production of
schedules and project information
for use by ADOT in selecting
engineering consultants, and
managing the design work of the
selected engineering consultants.
2.6.2 Limitations on use of
Management Consultants
It is ADOT policy to limit the
size of management consultant
contracts so that the span of
control of the management
consultant is not excessive, as
follows:
• Management consultants will
normally be used on
corridors where there is a
limited time- frame for
project development. Such
corridors should have
intensive design workloads
and an established
construction schedule.
• Management consultants may
be used for longer corridors
or multiple corridors to
complete the corridor
general plans and to oversee
a finite number of design
contracts.
• Management consultants are
not to be used for corridor
wide assignments of
undefined duration.
• Management consultants are
not to be used for isolated
design projects.
2.6.3 Engineering Consultants
¨ Project Consultants -
Responsible for an engineering
study or for the preparation of
multi- discipline design and
construction documents on a
specific project. The project
consultant reports to a project
manager assigned by the Deputy
State Engineer for Planning and
Design. All work prepared by
the project consultant is
subject to review by the
appropriate ADOT technical
units for quality assessment
and conformance with ADOT
procedures and project
requirements. The consultants
remain responsible for the
technical quality and accuracy
of their work.
¨ Specialty Consultants -
Responsible for preparing
reports, design, and plans for
an ADOT technical unit. The
specialty consultant reports to
a technical leader assigned by
the unit's technical manager.
All work prepared by the
specialty consultant is subject
to review by the technical unit
for quality assessment and
conformance with ADOT
procedures and project
requirements. The consultants
remain responsible for the
technical quality and accuracy
of their work.
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TABLE OF CONTENTS
3. PROJECT DEVELOPMENT PROCESS3.1
3.1 PROGRAM DEVELOPMENT PROCESS3.1
3.2 PLANNING AND PROGRAMMING PROCESS3.1
3.2.1 The Regional Transportation System Plan ( Step 1) 3.1
3.2.2 Regional Transportation Priority Recommendations
( Step 2) 3.1
3.2.3 State Transportation Plan ( Step 3) 3.1
3.2.4 Priority Programming Process ( Step 4) 3.2
3.2.5 Transportation Corridor Planning Studies ( Step 5) 3.2
3.2.6 Corridor Location Study ( Step 6) 3.2
3.2.7 Priority Programming
( Step 7) .......................................................... 3.5
3.2.8 Advance Acquisition of Right- of- Way ( Step 8) 3.6
3.3 PROJECT DEVELOPMENT PROCESS3.6
3.3.1 Scoping Phase - Project Location and Definition
( Step 9) 3.7
3.3.2 Priority Programming ( Step 7), Continued3.7
3.3.3 Design Phase and Pre- Construction Activities ( Step
10) 3.7
3.3.4 Design Phase - Right- of- Way Acquisition ( Step 11) 3.8
3.3.5 Design Phase - Advertising for Bid ( Step 12) 3.8
3.3.6 Design Phase - Award of Contract ( Step 13) 3.8
3.3.7 Construction Phase ( Step 14) 3.9
3.3.8 Construction Phase - Project Acceptance ( Step 15) 3.9
3.3.9 Operation and Maintenance Phase3.9
3.4 PROGRAM AND PROJECT MANAGEMENT3.9
3.4.1 Program Management3.9
3.4.2 Project Management3.10
3.4.3 Project Priority Process3.11
3.5 RESOURCE MANAGEMENT3.12
LIST OF FIGURES
Figure 3.1 ADOT PROGRAM DEVELOPMENT PROCESS3.3
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3. PROJECT DEVELOPMENT PROCESS
3.1 PROGRAM DEVELOPMENT PROCESS
The Project Development Process
for highways is a part of ADOT's
overall Transportation Program
Development Process. Regarding
highways, the Program Development
Process brings together ADOT's
Transportation Planning, Adminis-tration
Services, and Highways
Divisions and the State Transpor-tation
Board to identify highway
transportation needs, to develop
solutions to these needs, to de-termine
available funds, to es-tablish
priorities for these
highway needs, and to implement
the solutions on a priority ba-sis.
The Program Development Process
follows the requirements of the
Arizona Revised Statutes and the
various Federal laws and regula-tions
regarding the Federal- aid
program for highways. The Pro-gram
Development Process is fully
described in the ADOT publica-tions
Action Plan for State-
Funded Highway Projects on the
State System, 2nd Edition, and
Action Plan for Federal- Aid
Highway Projects.
The Program Development Process
is divided into the Planning and
Programming Process and the
Project Development Process. The
following steps briefly describe
these processes.
The Program Development Process
steps are presented in diagram
form in Figure 3.1.
3.2 PLANNING AND PROGRAMMING
PROCESS
The Planning and Programming
Process includes all the
transportation planning and
analysis required to identify and
prioritize transportation issues
at the state, regional and local
community levels. It includes
the study of transportation
systems, corridors and special
issue problems, and the
preparation of capital investment
programs for transportation
improvements. It provides
direction to the succeeding
project development process.
3.2.1 The Regional
Transportation System Plan ( Step
1)
The Regional Councils each
develop a Regional Transportation
System Plan based upon their
coordinated, comprehensive,
continuing planning process.
3.2.2 Regional Transportation
Priority Recommendations ( Step 2)
The Regional Councils make
priority recommendations for
Federal- aid transportation
projects in their region and for
the construction and improvements
of facilities on the State
Highway System.
3.2.3 State Transportation Plan
( Step 3)
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The Transportation Planning
Division prepares a State
Transportation Plan based on
their long- range planning
process. The State
Transportation Plan is presented
to the public for broad- scoped
comments and input.
The Transportation Planning
Division also prepares a Status
and Performance Report for the
state legislature every five
years. The purpose of the study
(" Needs Study") is to identify
the five- and ten- year
transportation needs of Arizona
and to evaluate the status and
condition of transportation
systems and analyze
transportation needs.
In addition to identifying
overall state transportation
needs and performance, the report
provides valuable technical
information as an adjunct to the
State Transportation Plan,
transportation corridor studies,
and the priority programming
process.
3.2.4 Priority Programming
Process ( Step 4)
The State Transportation Board
determines which corridors or
facilities should proceed on
through the planning process and
allocates funds for the
appropriate studies.
3.2.5 Transportation Corridor
Planning Studies ( Step 5)
The Transportation Planning
Division performs transportation
corridor planning studies as a
part of the systems planning
process. These studies focus on
areas of State transportation
network service deficiencies
identified in the State Plan and
Needs Study and provide analysis
on the effects of differing
levels and types of
transportation investments
applied to these links. The
Corridor Planning Studies are
generally performed by the
Transportation Planning Division
or its consultant. However, with
prior approval of ADOT, a local
government may be permitted to
conduct such a study for a State
transportation facility in
accordance with the Action Plan.
Final approval of the study
remains with ADOT.
The corridor planning study
products will include the type of
facility to be constructed,
treatment of transit, cost
estimates, funding sources, and
priority recommendations to the
Transportation Board. The
planning study may include a
preliminary determination of the
number and type of travel lanes
and general interchange
locations. The geographic limits
of the area within which a
facility can satisfy the purpose
of the corridor may also be
determined. In addition, major
impacts and benefits of the
corridor may be more clearly
defined and the degree of public
and local agency support may be
identified.
3.2.6 Corridor Location Study
( Step 6)
The Highways Division performs
corridor locations studies to
determine the preferred location
of the planned facility within
the general corridor established
in corridor planning studies of
Step 5. The location study will
evaluate and compare several
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_____________________________________________________________________________
discrete highway corridors
considering the social,
environmental, engineering, and
cost criteria that would be
applied to final roadway
alignment studies. At this stage
of development, however, data
gathering and detailed design
analyses are limited to those
levels necessary to identify any
" fatal flaws" and to compare the
alternative specific corridors.
The corridor location study will
recommend the best of
Note: Step 1 through 15 are discussed in greater
detail in the text of this Chapter.
Major projects such as new highways on new
locations may require all of the process steps
identified above. Less complex projects such
as the improvement or reconstruction of
existing facilities may require only selected
steps of the process as applicable to the
individual project.
* Federal Highway Administration approvals required
on Federal- Aid projects that are not covered under
Certification Acceptance Procedures.
Figure 3.1 ADOT PROGRAM DEVELOPMENT PROCESS
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February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 3.5
_____________________________________________________________________________
the specific corridors for the
facility.
Public involvement is sought
throughout the study process.
Public involvement activities are
conducted early in the process
where the project is explained,
the alternative corridors are
displayed and described, and
public input is received.
Depending upon the complexity of
the corridor location study,
additional public involvement
activities may be held as the
study progresses. The final
recommendation is circulated to
local jurisdictions with notices
to the public of the availability
of the final study results.
The corridor location study will
include environmental studies
necessary to prepare an
environmental overview of the
general corridor with appropriate
data for each specific corridor.
The objective of the
environmental overview is to
describe the social, economic,
and environmental character of
the study area, to identify
potential obstacles and issues
associated with the study area,
and to evaluate the study area
alternatives. The environmental
overview documents are developed
to the extent that the
environmental issues are
identified and that appropriate
courses of action are developed.
Having the study recommendations
for a preferred corridor
location, the State
Transportation Board may
designate a preliminary
transportation corridor through
adoption of a formal resolution.
The adopted resolution is filed
with the office of the
appropriate county recorder as an
official public notice of the
intended transportation facility.
Agreement to cooperate in
preservation of the designated
preliminary transportation
corridor is sought with agencies
having jurisdiction along the
corridor. The ADOT Highways
Division works with developers
and with planning and zoning
agencies to avoid encroachment
upon the designated preliminary
corridor. Where unavoidable
encroachment is imminent, the
integrity of the corridor may be
preserved through advance
acquisition for protective
purposes as described in Step 8
below.
3.2.7 Priority Programming
( Step 7)
The annual development of a five-year
project- specific capital
improvement program concludes the
transportation planning effort.
This program reflects the general
priority recommendations
identified in the State
Transportation Plan, the Status
and Performance Report prepared
by the Transportation Planning
Division, and corridor and
special planning studies.
Additional priority program input
is provided by ADOT Districts,
ADOT technical units, ADOT
management, local and regional
planning agencies including the
Councils of Governments, and the
general public.
The initial activity in the
prioritization process is the
preparation of a list of
potential projects. This list is
assembled by the Transportation
Planning Division from needs
identified in the transportation
planning effort including
recommendations from the various
ADOT technical units.
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The Highways Division analyzes
the potential projects to
establish the scope of the
project, to prepare a reasonable
estimate of the construction and
engineering costs, and to
determine the time frame required
to prepare the project for
construction. While these
" scoping activities" provide
input to the Priority Programming
Process, they are considered to
be a part of the Project
Development Process described in
Section 3.3.
Using the priority programming
process, the Transportation Board
selects those projects which are
to proceed through design, final
environmental documentation, full
right- of- way acquisition and
construction. The activities are
funded on a year- to- year basis,
but once the design process
starts, the project is expected
to move through to construction
even though construction might
not be scheduled within the five-year
program time frame.
3.2.8 Advance Acquisition of
Right- of- Way ( Step 8)
When Federal- aid funds for right-of-
way are involved on a state
highway project, advance right-of-
way acquisition requires prior
approval of the Director of the
Arizona Department of
Transportation and the Division
Administrator of the Federal
Highway Administration. On state
highway projects with no Federal-aid
involved in right- of- way, the
ADOT Director may authorize
advance acquisition. In either
case, acquisition of the land may
be authorized within the adopted
preliminary corridor ( Step 6)
utilizing the funds allocated by
the State Transportation Board
through the Priority Program
( Step 7).
When there is no Federal- aid
involved in right- of- way costs,
advance acquisition may be
carried out by a local public
agency after an approved route
plan has been adopted by the
governing board of the agency.
If Federal funds are used for
right- of- way costs, advance
acquisition must be specifically
authorized on a parcel- by- parcel
basis by the Federal Highway
Administration.
In all instances, advance
acquisition should take place
only if it is necessary to
prevent significant development
in the corridor, to relieve
financial hardships on property
owners, or if property owners are
suffering an undue hardship
because their property is in the
designated corridor.
Advance right- of- way acquisition
may take place until normal
project acquisition begins ( Step
11). This may cover a period of
several months to several years.
3.3 PROJECT DEVELOPMENT PROCESS
In general, the Project
Development Process includes all
the engineering, construction,
and administrative functions
required to advance a highway
transportation project from
conception through design and
construction and into the
operation and maintenance of the
project. The process is
accomplished through a systematic
interdisciplinary approach
involving the entire Highways
Division. Other ADOT divisions,
local, state, and federal
agencies, advisory organizations,
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 3.7
_____________________________________________________________________________
and engineering consultants may
also be involved.
Although the development process
varies somewhat depending on
specific project requirements and
varied interdisciplinary
approaches, it generally
comprises four distinct phases -
Project Scoping, Design and Pre-
Construction Activities,
Construction, and
Operation/ Maintenance Phases.
Data from the Scoping Phase is
used by the Transportation
Planing Division and the
Transportation Board in the
Priority Programming Process
( Step 7).
3.3.1 Scoping Phase - Project
Location and Definition ( Step 9)
The Scoping Phase activities are
applied to projects evolving from
the transportation corridor
studies and to individual
projects coming directly into the
priority planning process to meet
specific transportation needs.
3.3.1.1 Corridor Studies
Following adoption of the
preferred corridor location, the
study process continues with the
preparation of a Project
Implementation Report. This
report is intended to define the
individual sequential steps
necessary to develop the ultimate
corridor goals. The data from the
implementation report will be
used by the Transportation Board
in establishing funding
priorities for the individual
projects.
Preparation of the implementation
report often requires more
definitive design data than were
developed in the corridor
studies. These data are provided
through a Location/ Design Concept
study. ( If the highway location
is not an issue, only a Design
Concept study is required.) The
report on the concept study
presents the recommended
alignment within the preferred
corridor, engineering and
environmental issues associated
with the recommended alignment,
potential solutions for these
issues, the costs for developing
the corridor through construction
and the overall time frame for
completing the corridor to the
desired level.
3.3.1.2 Individual Projects
Individual projects are also
analyzed to establish the project
scope, the issues involved and
potential solutions, estimated
costs and the development time
frame to construction. For
individual projects, the analysis
is documented by a Scoping
Letter, a Project Assessment
Report, or by a Location/ Design
Concept Report.
As a part of Scoping Process,
environmental investigations are
prepared, preliminary right- of-way
constraints are established
and utility issues are determined
to fully define the development
of the project.
3.3.2 Priority Programming ( Step
7), Continued
Data from Step 9 ( the Scoping
Phase of Project Development) are
the basis for preparing the
annual Five- Year Highway
Construction Program ( Five- Year
Program). The Transportation
Planning Division and the State
Transportation Board use the
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_____________________________________________________________________________
individual project objectives,
estimated costs, and development
time frames to establish
priorities for constructing the
candidate projects. The Five- Year
Program becomes the guide for the
remainder of the Project
Development Process. ( It should
be noted that not all potential
projects are accepted into the
Five- Year Program after being
scoped. While they may be valid
projects, they may not rank high
enough in priority to be included
in the Five- Year Program.)
3.3.3 Design Phase and Pre-
Construction Activities ( Step 10)
Following acceptance into the
program, projects advance to the
Design Phase and Pre- Construction
Activities where a number of
design, environmental, utility
and right- of- way activities take
place.
The functions of the Design Phase
are generally performed by the
Arizona Department of
Transportation or its consultant.
However, with prior approval of
ADOT, a local government ( or its
consultant) may be permitted to
perform the functions of this
phase for a state highway
facility in accordance with the
appropriate Action Plan. Final
decisions for state highway
facilities are the statutory
responsibility of ADOT and the
State Transportation Board as
provided for in Title 28 of the
Arizona Revised Statutes, as
amended.
The design is finalized and
documents are prepared for bid
and construction. The
environmental documentation
process is completed, and
environmental recovery and
mitigation efforts are
undertaken. Utility plans and
agreements are prepared, right-of-
way plans are developed and
necessary rights- of- way are
acquired ( see Step 11) so that
utility and right- of- way
clearances can be given prior to
bid advertisement. Also during
this Phase, any joint project
agreements are developed and
executed. Special provisions are
developed and included in the
contract documents for
prospective bidders.
3.3.4 Design Phase - Right- of-
Way Acquisition ( Step 11)
The final project right- of- way
requirements are established as a
part of the project design
process. The Right- of- Way Group
in the Highways Division is
responsible for the coordination
and processing of all right- of-way
matters.
Advance right- of- way acquisition
may only occur as discussed in
Section 3.2.8 ( Step 8) and must
be accomplished in compliance
with the requirements of the
Arizona Revised Statutes and the
Federal Regulations.
Normal acquisition ( i. e., other
than advance acquisition) of
right- of- way can be authorized
after acceptance of the project
in the Five- Year Program.
Normally, all rights- of- way are
acquired prior to the
advertisement for construction
bids.
3.3.5 Design Phase - Advertising
for Bid ( Step 12)
Upon authorization of the
Director of the Highways
Division, or designee, the
project is advertised for bid in
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_____________________________________________________________________________
accordance with state law by the
Contracts and Specifications
Section of the Highways Division.
3.3.6 Design Phase - Award of
Contract ( Step 13)
All elements of each bid received
for the project within the
authorized time limit are
verified by the Contracts and
Specifications Section to
determine the lowest qualified
bid.
A staff recommendation regarding
award of the contract is made to
the Director of the Highways
Division. In consultation with
the ADOT Director, the Highways
Division Director makes a
recommendation to the State
Transportation Board regarding
the award of contract.
When a contract is to be awarded,
the State Transportation Board at
an open public meeting will make
the award to the lowest qualified
bidder. The Transportation Board
reserves the right to table or
reject the award of contract.
When a contract is not to be
awarded for a state highway
project, the State Transportation
Board determines what future
action is to be taken with regard
to the project.
3.3.7 Construction Phase ( Step
14)
After the contract is awarded,
the contractor is responsible for
constructing the project in
accordance with the terms,
conditions, and provisions set
forth in the contract.
Contract administration,
construction surveillance, and
work inspection for the project
is furnished by ADOT through the
appropriate District Engineer's
staff in conjunction with the
Construction Engineering Group's
staff.
Qualified local agencies may
request approval from FHWA and
ADOT to self administer the
construction inspection portion
of the local government
contracts.
3.3.8 Construction Phase -
Project Acceptance ( Step 15)
Final inspection and acceptance
of the completed project is the
responsibility of the District
Engineer in whose district the
project is located, or a
designee.
The Project Acceptance function
concludes the Construction Phase
and the ADOT Action Plan process
and procedures. However, the
Project Development Process
continues beyond the Construction
Phase for one year into the
operation and maintenance of the
facility.
3.3.9 Operation and Maintenance
Phase
Including a one- year period of
operation and maintenance in the
Project Development Process
ensures a high level of
communication and feedback to the
design and construction staff as
to the project quality and
appropriateness of the design and
construction solutions.
Feedback regarding the overall
operation and maintenance of the
State's highway system provides
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 3.10
_____________________________________________________________________________
input on highway needs to the
Program Development Process.
3.4 PROGRAM AND PROJECT
MANAGEMENT
Program and project management
are integral and essential to the
Project Development Process. It
is only through the proper
management the Highways
Division's program and each of
its constituent projects that
ADOT can achieve its goals of
reducing rework and unnecessary
work and improving the quality of
products and services to its
customers.
3.4.1 Program Management
3.4.1.1 Construction Program
The basis for managing the
program and its projects is the
Five- Year Construction Program
adopted each year by the State
Transportation Board. The
product of the Program
Development Process, this
document identifies each of the
construction projects programmed
for initiation in each of the
five ensuing fiscal years,
together with their estimated
costs. Specific project
expenditures budgeted for right-of-
way acquisition and for design
consultants may be included in
the program.
The Five- Year Program is a
primary tool for communicating
ADOT's plans with its external
and internal customers including
the travelling public, the
legislature, the local
governments, contractors and its
own staff. Adherence to the
program is an essential factor in
providing quality service to the
ADOT customers.
3.4.1.2 Managing the Program
Fiscal Year and amount of project
funding obligations of projects
are listed in the Five- Year
Program. A variety of
unanticipated issues can cause
schedule slippage or the need to
move the program to an earlier
start. Schedule impacts range
from failure to complete a
critical connecting component as
originally scheduled to a
decision to defer some part of
the original program. The State
Transportation Board looks to the
Priority Planning Committee to
monitor the Five- Year Program and
to recommend amendments to the
Program for Board approval.
Under the direction of the Deputy
State Engineer for Planning and
Engineering, the Program and
Project Scheduling Section ( P 2 S 2 )
establishes a Master Schedule of
all project activities necessary
to meet the project commitments
presented in the Five- Year
Program. The status of each
project activity is monitored to
determine variations from the
master schedule. P 2 S 2 also
maintains and monitors a file of
the current estimated costs for
each project in the Program.
These costs are monitored for
variations from the programmed
costs.
3.4.1.3 Program Changes
Individual project changes
affecting the scope, the
scheduled milestones or the
budgets are made by P 2 S 2 staff
upon the recommendation of the
project manager, acting for the
Project Team, with appropriate
approvals. Project changes
affecting the Program ( fiscal
year or significant cost
increases) require the approval
of the Deputy State Engineer for
Planning and Engineering, the
Priority Planning Committee, and
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the Transportation Board. ( See
Section 7.9 for additional
information regarding program
changes.)
3.4.2 Project Management
At ADOT, a " Project" is defined
as "... any effort having a scope,
schedule, budget, and desired
outcome satisfactory to the
Customer." Project Management is
defined as "... a process wherein
projects are developed from
concept to completion through a
team effort."
Management of a project is based
upon a Project Work Plan which
defines the project objectives,
the scope of the project and the
scope of each of the involved
technical units, a schedule of
activities necessary to
accomplish the project scope, and
the resources required for each
activity.
Project technical leaders are
responsible for their unit's
adhering to the Project Work
Plan. The project manager is
responsible for monitoring the
overall status of the project.
3.4.2.1 Project Work Plan Each
project has its own Project Work
Plan for each phase comprising
that phase's schedule of
activities, its scope of
services, and the budgets -- pre-construction
and construction --
as appropriate.
A Project Work Plan ( PWP) is
primarily an internal
communication device which allows
the technical units to coordinate
their work, avoiding rework and
unnecessary work caused by the
unilateral decisions and changes
made by another unit. It guides
the several ADOT technical units
in accomplishing their
assignments on each phase of a
project. On those project phases
having consultant involvement,
the PWP will guide the project
manager and Engineering
Consultant Services in
negotiating consultant contracts.
The PWP is a dynamic document,
able to accommodate the
inevitable changes arising from
the project design and discovery
process. First developed at the
early stages of the Scoping
Phase, the Scoping PWP is
modified as the scoping process
becomes better defined. After a
project is accepted into the
Five- Year Program, the final
activity of the Project Scoping
Phase is the development of the
Design Phase PWP.
The Design Phase Project Work
Plan supports the Five- Year
Program and details how the cost
and schedule commitments for
design and pre- construction
activities will be met.
The Construction and Maintenance
Phase Project Work Plans most
importantly detail the
coordination between the design
functions and the construction
and maintenance functions during
the remainder of the Project
Development Process.
The development and
administration of the Project
Work Plan is the responsibility
of the project manager. However,
the technical aspects-- scope,
activities, resource
requirements, and durations--
originate with the technical
units.
3.4.2.2 PWP Changes Adherence
to the PWP is monitored by the
project manager. With the
concurrence of the Project Team,
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the project manager is empowered
to make certain changes in the
project scope, schedule and
budget. Changes beyond the
limits of project manager
empowerment ( See Section 7.9.1)
require the approval of the
Deputy State Engineer for
Planning and Engineering. In
certain instances, the approval
of the Priority Planning
Committee or the State
Transportation Board may be
required. Authorized changes in
the PWP are forwarded to P 2 S 2 for
updating the program master
schedule. ( See Section 8 for
additional information regarding
Project Work Plan changes.)
3.4.3 Project Priority Process
Projects in the Five- Year Program
are generally given priority
based on the criticalness of
their schedules, i. e. the amount
of float in the schedule. The
less positive float in a project
schedule, the higher the
project's priority.
ADOT's resources are distributed
to project activities based upon
their relative priorities. Those
activities on a project's
critical path have the highest
priorities. For resource
allocation purposes, these
priorities are established at the
start of an activity. In
general, critical path activities
once started should not be
stopped or interrupted even
though the project's priority may
change during the duration of the
activity. The exception to the
rule is when a Critical Project
is at risk in meeting its
schedule. Critical Project
activities take priority over all
other projects even if it
requires stopping or interrupting
work on a critical path activity.
The priority classification of
Critical Project has been
established by ADOT in
recognition that a limited number
of projects may have an
overwhelming importance to the
public and require special
attention. Not more than five
percent of the projects in the
Five- Year Program will be
designated as Critical Projects.
It is not expected that a
project will be designated as
critical at the time of
programming unless there is a
schedule problem at that time.
The criteria to be used to
consider designating critical
projects are as follows:
Tier 1 ( Most Value)
¨ Meeting schedule commitments
to communities or other
customers;
¨ Avoiding funding lapses or
taking advantage of
opportunities for additional
funding;
¨ Emergency projects.
Tier 2
¨ Public sensitivity.
Tier 3
¨ Meeting important dates such
as canal dry- ups and weather-related
construction seasons;
¨ Avoiding critical events
such as major crowd generators
and mating seasons for
endangered animals;
¨ Potential structural
failures;
¨ Significant safely and
maintenance issues;
¨ Public health issues;
¨ Relationship to other
projects such as bidding
projects together.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 3.13
_____________________________________________________________________________
Authority to designate critical
projects rests with the Project
Review Board ( PRB). Petitions to
designate a project as " critical"
may come from the project
manager, the State Engineer's
Office, a member of the PRB or
other ADOT Divisions. The
petition must include a
justification, based on one or
more of the criteria listed
above.
3.5 RESOURCE MANAGEMENT
Resource management is used by
ADOT to assure that its personnel
and capital resources are
utilized in a cost- effective and
efficient manner. The basis for
resource management is the
aggregate of all project
schedules and resource
requirements. By comparing
required resources with available
staff and consultants, reasonable
decisions can be made as to the
best distribution of work
assignments to meet the Five- Year
Program commitments.
Resource management is the
responsibility of the Deputy
State Engineer for Planning and
Engineering, or designee, working
with the group managers.
Meetings are held monthly,
following project progress
updates, to confirm the coming
month's workload for the groups
and to address the workload
projections for the succeeding
two months and a period of six
months thereafter. As a part of
the monthly program update,
Program and Project Scheduling
Section will analyze the total
program resource requirement and
make recommendations as to
additional resources required or
for adjustments to project
schedules.
For reasonable decisions to be
made regarding resource
allocations, it is necessary to
have realistic estimates of
resources required to complete
each activity, the remaining
duration of each activity, and
accurate assessments of the ADOT
staff and private consultants
available for project work.
The ADOT available staff each
month is the actual number of
people assigned to a unit less
estimated administrative time
( holidays, annual leave, sick
leave, etc.) and less so- called
" agency work" ( special reports
for the legislature, short- term
studies, minor updates of
standards, etc.). Any " agency
work" efforts which will
materially affect the
availability of staff for project
work should be managed and
monitored using the project
management procedures outlined in
this manual.
Preparing and updating estimates
of resource requirements and
durations for activities is the
responsibility of the technical
units. Group managers are
responsible for establishing
guidelines for estimating the
effort associated with the
various activities and component
work tasks normally performed by
their technical units. Technical
managers should monitor the
progress reported by their
technical leaders and stand ready
to counsel where corrective
action is required.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4. i
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TABLE OF CONTENTS
4. PROJECT SCOPING PHASE 4.1
4.1 SCOPING PHASE OBJECTIVE4.1
4.2 GENERAL4.1
4.3 PROGRAMMING 4.1
4.4 STRATEGIC PLAN FOR PROJECT SCOPING4.2
4.5 PROJECT TEAM4.3
4.6 CONSULTANTS4.3
4.7 INDIVIDUAL PROJECTS4.4
4.7.1 Scoping Letter4.4
4.7.2 Project Assessment4.6
4.7.3 Location/ Design Concept Report4.9
4.7.4 Controlling Design Criteria Evaluation4.13
4.8 CORRIDOR STUDIES4.14
4.8.1 Corridor Study Project Team 4.14
4.8.2 Corridor Study Field Review4.14
4.8.3 Preliminary Information4.15
4.8.4 Public Information Meeting4.15
4.8.5 Initial Corridor Report4.15
4.8.6 Final Corridor Location Report4.16
4.8.7 Project Implementation Report ( General Plan) 4.18
4.9 SCOPE CONSENSUS STUDY4.20
4.10 VALUE ANALYSIS4.20
4.11 ENVIRONMENTAL ANALYSIS4.20
4.12 RIGHT- OF- WAY ACTIVITIES4.21
4.13 UTILITY ISSUES4.21
4.14 OUTSIDE AGENCY COORDINATION4.22
4.15 PUBLIC COORDINATION4.22
4.16 PROJECT SCOPING REVIEW4.23
4.16.1 General4.23
4.16.2 Field Review4.23
4.17 SCOPING PHASE PROJECT WORK PLANS4.24
4.18 DESIGN PHASE PLANNING4.24
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_____________________________________________________________________________
4. PROJECT SCOPING PHASE
4.1 SCOPING PHASE OBJECTIVE
It is the Department's intent
that the Scoping Phase activities
will produce a well- defined engi-neering
approach to solving a
transportation issue with a rea-sonable
life- cycle cost consider-ing
impacts to the environment,
the community and the State as a
whole. The proposed scope, sched-ule,
and budget will be the basis
for establishing the project's
priority for implementation.
4.2 GENERAL
The Project Scoping Phase
includes all activities necessary
to advance a project from its
inception as a solution to a
transportation need through its
being accepted into the Five- Year
Highway Construction Program
( Five- Year Program).
In addition to the traditional
" design" groups ( Roadways,
Bridges, Traffic, etc.), the
Project Scoping Phase generally
includes involvement by a number
of other ADOT technical units
( Materials Group, Right- of- Way
Group, etc.), the District
Engineer, and outside agencies
whose efforts are essential to
establishing the full scope of a
project prior to programming. It
is the responsibility of the
project manager to coordinate and
lead the activities of the
Project Team which represents all
the ADOT units and outside
agencies necessary to take a
project successfully through the
Project Scoping Phase.
4.3 PROGRAMMING
Projects are developed as
solutions to transportation
needs. In today's environment,
it is inevitable that there are
more needs than the available
transportation funds can satisfy.
The Programming Process is
intended to select from the many
needs those projects which best
meet the criteria to be
candidates for the Five- Year
Program.
Potential highway projects come
from various organizations
including ADOT districts, ADOT
Transportation Planning Division,
( TPD) other state agencies, local
councils of governments, local
governments, and the federal
government. A list of potential
projects submitted by the
initiating entities is assembled
annually by TPD. Working with
the Highways Division's senior
staff, the TPD staff critique and
prioritize the potential
projects. From the list of
potential projects, TPD staff and
ADOT management prepare a short-list
of those projects deemed to
be the best candidates to be
considered for the Five- Year
Program.
The list of suggested potential
projects may include " Corridor
Studies" ( See Section 4.2 below)
which require significant
analysis before their component
projects can be considered as
candidates for the Five- Year
Program. TPD staff and ADOT
management evaluate the suggested
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.2
_____________________________________________________________________________
corridor programs and determine
those which warrant study.
TPD anticipates that a large pool
of candidate projects will be
required each year for the
ranking process which determines
those projects which will be
accepted into the Five- Year
Program. The size of the pool,
including those scoped projects
which didn't make the cut the
previous year, will be roughly
twice the number which are
expected to be included in the
Program.
The Five- Year Program is a policy
document and requires review and
comment by the public before it
is adopted by the State
Transportation Board.
Necessarily, the time between
determination of the candidate
projects and the initial ranking
of projects for the Five- Year
Program may be quite short.
However, it is the intent of the
Department that most of the
candidate projects will be fully
scoped for consideration in the
coming evaluation period.
Projects requiring a greater
scoping effort than can be
completed in the limited time
frame may need to be deferred to
a succeeding year for ranking.
4.4 STRATEGIC PLAN FOR PROJECT
SCOPING
Preparing scoping documents for
the candidate projects will
require developing a strategic
plan to meet the schedule for
project ranking and to
efficiently utilize ADOT's
resources.
Upon receiving the list of
candidate projects from TPD, the
managers of Statewide Project
Management Section ( SPMS) and
Pre- Design Management Section,
together with senior staff
members, assess the candidate
projects to determine a
presumptive level of scoping
documentation required for each
and, with TPD, to establish study
priorities. The simplest projects
may require only a Scoping Letter
( SL). More complicated projects
may require a Project Assessment
( PA), while major projects and
those with environmental issues
may require a Design Concept
Report ( DCR) or Location/ Design
Concept Report ( L/ DCR) and
Environmental Assessment ( EA).
PA's and SL's will not be
sufficient for projects requiring
environmental action.
Thus, in general, Scoping Letters
should be sufficient for defining
projects such as pavement overlay
projects, minor landscaping
projects, and rock- slope scaling
projects.
Design Concept Reports should
generally be prepared for all
individual major projects such as
roadway improvements, traffic
interchanges, bridge, rest areas
and points- of- entry especially
where new right- of- way is
required. Corridor improvements
will generally require a corridor
study with a Location/ Design
Concept Report ( or DCR where
location is not an issue)
including a strategy for
implementation.
In general, all other projects
should be defined by a Project
Assessment.
The manager of the Programming
and Project Scheduling Section
( P 2 S 2 ) works with SPMS staff and
the appropriate technical
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.3
_____________________________________________________________________________
managers to roughly appraise the
resource requirements and
activity durations for preparing
the scoping documents for the
candidate projects. Using these
data, P 2 S 2 prepares a tentative
master schedule for the scoping
documents to match the resources
available to ADOT, including
consultants. The Pre- Design
Management Section obtains TRACS
numbers for the studies.
4.5 PROJECT TEAM
The Deputy State Engineer for
Planning and Engineering assigns
each of the scoping studies to a
project manager who is
responsible for assembling and
coordinating the Project Team
through the scoping study to
final evaluation for acceptance
into the Five- Year Program and
then, as appropriate, through the
remainder of the Project Scoping
Phase and on through the Design,
Construction, and Maintenance
Phases. 1
Following appointment, the
project manager and a
representative of the Pre- Design
Sections consult with the
District Engineer and the project
initiator to review the candidate
project's problem statement and
to establish the objectives for
the study. Based on the study
objectives and the resource
requirements and activity
durations established in the
strategic planning, the project
manager contacts the managers of
the involved technical units to
appoint technical leaders to
represent their units on the
Project Team. The project
manager contacts the assigned
Team Members to begin the
preparation of the Scoping Phase
Project Work Plan. ( See Section
4.14.)
4.6 CONSULTANTS
ADOT's general policies regarding
the use of engineering
consultants is presented in
Section 2.6 of this manual.
Additional information on the use
of engineering consultants is
presented in
the discussion of Resource
Management in Section 3.5.
Consultants may be used to
perform any of the activities
associated with the Scoping
Process. Generally, the
consultants used for Scoping
Letters, Project Assessments, and
short time- frame Design Concept
Reports will be Specialty
Consultants working under " On-
Call Contracts". Since these
consultants are already selected
and under contract, they can be
quickly mobilized for the
individual scoping efforts. In
such cases, the cognizant
technical manager requests that
Engineering Consultant Section
issue a Task Order Request for
the required services. The
Scoping Phase Project Work Plan
serves as a basis for preparing
the consultant's scope of
services and for negotiating the
fees for the services.
On Corridor Studies and complex
Location/ Design Concept Reports
the multi- disciplinary
requirements and the longer time-frame
for the study permit the
selection of a consultant( s) for
1 It is intended that a
Project Team will remain with
a project from conception to
one year after end of
construction. Maintaining the
same Project Team members
throughout the life of a
project may be difficult,
particularly on long- duration
projects. However, Team
continuity must be a high
priority objective for the
Highways Division.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.4
_____________________________________________________________________________
the specific requirements of the
scoping study. In such cases,
the Pre- Design technical leader
requests Engineering Consultant
Section ( ECS) to initiate the
selection process. The Scoping
Phase Project Work Plan is the
basis for developing the
consultant scope of services and
for negotiating the fees for the
services.
4.7 INDIVIDUAL PROJECTS
During the Project Scoping Phase,
candidate individual projects are
developed to the extent necessary
to achieve Department consensus
on design concept, scope,
schedule and budget. Candidate
individual projects are highway
related " stand- alone" projects
which are candidates for being
considered for scheduling in the
Five- Year Highway Construction
Program for design and
construction. They may be
dependent upon or lead to other
projects; however, they are
scoped and evaluated as discrete
projects.
The scoping document produced to
define individual projects may be
a Scoping Letter, a Project
Assessment, or a Location/ Design
Concept Report.
4.7.1 Scoping Letter
A Scoping Letter is the simplest
method of documenting a project's
scope schedule and budget. It is
prepared for all projects not
requiring a detailed analysis for
project definition. Such
projects would include pavement
surface treatment, traffic
signals and lighting
improvements, bridge
preservation, etc. Such projects
typically do not involve
environmental issues nor
approvals by other agencies --
constraints which would require a
higher level of scoping document.
The appropriateness of a Scoping
Letter as a scoping method will
be established for each of the
projects in these categories
during the Strategic Planning
Stage described above.
Projects covered by a Scoping
Letter usually involve a single
technical discipline. Generally
they originate within a technical
unit of ADOT and usually require
commencement of construction in
the same fiscal year which they
were initiated. Funds for the
specific project are allocated
from a line item in the Five- Year
Program covering the general
category of project. Funding
approval is by the person
responsible to the Transportation
Board for the line item.
4.7.1.1 Scoping Letter Project
Team Preparation of a Scoping
Letter is the responsibility of
the technical unit most closely
associated with the preparation
of the construction documents.
Normally, the Deputy State
Engineer for Planning and
Engineering will appoint as
project manager the individual
who will be serving as technical
leader for the primary
discipline. As project manager,
the individual will maintain
liaison with the District and
with the initiating unit and will
coordinate the activities of the
Project Team, including the
preparation of a work plan for
the scoping effort. As technical
leader, the individual will set
up the field reconnaissance, as
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.5
_____________________________________________________________________________
required, and prepare the Scoping
Letter.
4.7.1.2 Scoping Letter Project
Objectives The project
objectives established by the
Project Team including the
project initiator and the
District serve as a guide for
determining the project scope.
The project objectives should
note any ancillary needs,
constraints or other pending
projects which may impact the
project scope.
4.7.1.3 Scoping Letter
Background Information The
Project Team should assemble
available and appropriate
background information on the
project including past and
present conditions at the site,
existing plans, maintenance
records, inspection records,
utility locations, right- of- way
constraints, basic traffic data,
other proposed projects in the
area, etc; -- information about
items or issues which may affect
the project scope, schedule and
budget.
4.7.1.4 Scoping Letter Field
Review Following assembly of the
background information, the
Project Team assesses the need
for a field review of the project
site. In general, a field review
will provide the Project Team
with valuable insight for project
definition; however, the
information available to the Team
may be such that little
additional knowledge will be
gained by a visit to the site and
a field review all ( or any) Team
members may not be effective use
of time.
4.7.1.5 Initial Scoping Letter
The Initial Scoping Letter ( ISL)
should be prepared immediately
following the field review, if
any. The ISL should be as brief
as practical but must contain the
project objective, the proposed
solution, and data to define the
scope, schedule and budget for
developing the project. The
technical content of the Scoping
Letter will be in accordance with
the policies and procedures
established by the individual
technical units. The general
requirements of a ISL are as
follows:
¨ Title should include project
identification data as provided
by Program and Project
Scheduling Section;
¨ Introduction contains the
project location information,
the purpose of the project and
the project objectives.
¨ Background Information is a
compilation of past and present
conditions at the site,
existing plans, maintenance
records, inspection records,
utility locations, right- of- way
constraints, basic traffic
data, etc, to the extent that
such data impact the project
scope, schedule, or budgets.
Non- pertinent information
should not be included.
¨ Project Scope is a simple
statement of the construction
work to be done including a
listing of the major components
of the work.
¨ Development Considerations
includes those items and
concerns which will have an
effect on the development
schedule. Statements regarding
the absence of environmental
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.6
_____________________________________________________________________________
issues, other agency approvals,
etc should be given here.
¨ Cost Estimates and Milestone
Schedule presents the estimated
construction cost and a
tentative milestone development
schedule.
4.7.1.6 Initial Scoping Letter
Review Upon completion of the
ISL, the Project Team circulates
the document to the managers of
the involved technical units and
to the District Engineer for
review and comment. Comments
received are addressed by the
Project Team. If consensus is
not achieved on the project as
defined in the ISL, or if
environmental or other approval
issues are identified, the Deputy
State Engineer for Planning and
Engineering ( DSE/ P& E) should be
notified and advised that a
higher level of scoping document
will be required to define the
project.
4.7.1.7 Final Scoping Letter
Upon resolution of comments, the
ISL is revised and a Design
Project Work Plan ( PWP) is
prepared by the Project Team.
The Final Scoping Letter is
circulated by the Project Team
for approval. Scoping Letters
are approved by the District
Engineer, the project initiator,
the project manager and the Group
Manager for the technical unit
where most of the design effort
will be done.
The project manager submits the
approved Scoping Letter for
funding approval to the person
responsible for the program line
item. A copy of the funding
approval is forwarded to the
Program and Project Scheduling
Section for information with the
design schedule.
4.7.2 Project Assessment
The purpose of the PA is to
obtain consensus on the potential
project scope, major design
features, milestone development
schedule, and development and
construction budgets based upon
available information and a field
review. The PA is the basis for
consideration of a project for
inclusion in the Five- Year
Program.
In general, a Project Assessment
( PA) is prepared for highway
projects requiring physical
construction of the roadway and
where environmental categorical
2 In accordance with 23 CFR
Part 771, actions that do not
individually or cumulatively
have a significant effect on
the environment are
Categorical Exclusions and
normally do not require an
Environmental Assessment or
Environmental Impact
Statement. Categorical
Exclusions are separated into
two groups. The first group
is a fixed list of actions
which do not require further
National Environmental Policy
Act ( NEPA) documentation. The
second group includes actions
which require documentation on
a case- by- case basis to
demonstrate that criteria for
Categorical Exclusions are
satisfied, and that
significant environmental
effects will not result.
Recommendations for
Categorical Exclusions are the
responsibility of the
Environmental Planning
Section.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.7
_____________________________________________________________________________
exclusions 2 are sufficient.
Individual projects defined
through the preparation of a
Corridor Study, a Design Concept
Report, or a Project
Implementation Report ( see
Section 4.6.3) do not require a
PA.
4.7.2.1 Project Assessment
Project Team The project manager
assigned by the DSE/ P& E works
with the Pre- Design technical
leader, the district
representative( s), and the
initiating agency to establish
the project objectives and to
develop a problem statement. The
project manager assembles the
Project Team ( Section 4.5) and
coordinates the preparation of a
preliminary work plan for the
Project Assessment including
scope, activity durations and
resource requirements. Project
Team roles and responsibilities,
coordination and review
procedures are established by
consensus at this time.
The technical preparation of the
Project Assessments is the
responsibility of the Pre- Design
Sections represented on the
Project Team and following the
detailed procedures for the PA
preparation in the Roadway Design
Guidelines Manual. Environmental
Categorical Exclusion ( CE)
documentation, if required, is
the responsibility of the
Environmental Planning Section
represented on the Project Team.
The project manager is
responsible for maintaining
liaison with the initiating
agency and other involved
agencies and for ensuring
adequate involvement of the other
Team members in the preparation
of the PA and CE.
Where appropriate, the Project
Team coordinates design
partnering activities with other
agencies.
The project manager is
responsible for assuring
adherence to the requirements of
the ADOT Action Plan.
4.7.2.2 Project Assessment
Project Objectives - The project
objectives established by the
Project Team including the
project initiator and the
District serve as a guide for
determining the project scope.
The project objectives should
note any ancillary needs,
constraints or other pending
projects which may impact the
project scope.
4.7.2.3 Project Assessment
Background Information - The
assembly of background
information is essential for
understanding the constraints
which will shape the project.
The Project Team is responsible
for obtaining all available
information on the past and
present conditions at the project
site, the existing horizontal and
vertical geometry, the roadway
typical cross section, any
bridges or drainage structures,
existing utility data, existing
right- of- way and the general
ownership of adjacent properties,
basic traffic data, and traffic
accident histories and analysis.
An analysis of the controlling
design criteria for the existing
facility is prepared as a part of
the background information.
Using the background information,
the Project Team develops a range
of engineering solutions which
will meet the project objectives
including phased implementation
of the ultimate solution.
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.8
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4.7.2.4 Project Assessment
Field Review - The Pre- Design
technical leader should
coordinate with the project
manager and other Team members to
determine a date for a field
review and to develop a
preliminary list of those who
should be invited to attend the
field review. The schedule
should allow time prior to the
field review for data collection
and review, preliminary
controlling design criteria
evaluation, development of an
initial concept for the project
and preliminary design exception
recommendations.
Those attending the field review
should include representatives of
the District Engineer, the
project initiating section or
agency, involved ADOT groups or
sections, FHWA, and as
appropriate, the National Forest
Service, Nation Park Service,
Indian Tribes and Bureau of
Indian Affairs, local government
agencies, railroads, irrigation
districts, and utility companies.
At least two and preferably four
weeks notice should be given to
those invited.
The field review is an
opportunity to confirm the
project objectives with the
attendees and to solicit
information regarding any
additional problems that need to
be addressed as a part of the
project.
Prior to the field review, the
attendees should review any pre-programming
information received
from TPD and P 2 S 2 , the project
problem statement and objectives,
existing project background data,
and the preliminary Controlling
Design Criteria report.
It is recommended that a video
recording of the existing
facility be made in both
directions during the field
review drive- through of the
project. This will give a
permanent record of the existing
features -- particularly those of
major concern such as guardrail,
slopes, drainage structures,
right- of- way, utilities, etc.
that will impact the project.
Following the drive- through, the
initial concept and the
preliminary design exception
recommendations should be
discussed with the attendees.
If outside agencies are involved
in the project, a design
partnering meeting may be
appropriate to establish a common
approach to the project scoping
process.
From time- to- time, the field
review will disclose conditions
indicating that a PA will not
adequately define the project.
In such cases, the PA process
should be discontinued and the
preparation of a DCR should be
initiated using the escalation
process.
4.7.2.5 Initial Project
Assessment
The Initial Project Assessment
( IPA) should be prepared
immediately following the field
review. The required elements of
an IPA are as follows:
¨ The project identification
data as provided by
Transportation Planning
Division and/ or Program and
Project Scheduling Section;
¨ The project location
information, the purpose of the
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.9
_____________________________________________________________________________
project and the project
objectives.
¨ A compilation of past, present
and/ or existing conditions
including a description of the
roadway cross section, any
major or drainage structures,
the existing right- of- way and
the adjacent land ownership ( in
general terms), any utility
locations, basic traffic data,
etc.
¨ The major construction
components of the project in
general terms but with just
enough detail given to guide
the designer in preparing the
construction documents.
Depending upon the nature of
the project, specific items to
be presented include
preliminary horizontal and
vertical alignment, typical
roadway cross section,
preliminary pavement section, a
geotechnical assessment of the
site, borrow pit locations,
etc.
¨ A list of items and concerns
that will have an effect on the
development schedule and
content of the project
construction documents. Such
items may include utility
requirements, involvement of
outside agencies, seasonal
considerations, etc.
¨ Cost Estimates and Tentative
Development Time Frame to
provide the information
required by TPD to rate and
rank the project for inclusion
in the Five- Year Program. Cost
estimates should be based upon
the best available data with
estimating contingency factors
appropriate for the confidence
level of the estimated
quantities. Cost estimates
should be provided for design
activities, right- of- way
acquisition, ADOT- paid utility
relocations, and construction
costs including allowance for
field engineering and general
contingencies.
Upon completion of the IPA, the
Pre- Design technical leader
circulates the IPA to technical
managers and to involved outside
agencies for review and comment.
The project manager monitors the
timely return of comments and
their resolution. Comments
received are addressed by the
project team. If necessary to
achieve consensus, the project
manager will hold a comment
resolution meeting and/ or a
formal scope consensus meeting.
Lacking a consensus that the
project is adequately defined by
the IPA, the project manager will
advise the DSE/ P& E and P 2 S 2 and
recommend the preparation of a
DCR for the project.
4.7.2.6 Final Project
Assessment
The Final PA accompanied by a
Project Determination Memorandum
requesting Department Consensus
and approval, is circulated by
the project manager for consensus
by the managers of the Roadway,
Traffic, Transportation Support,
Structures, Materials, and Right-of-
Way Groups and the District
Engineer( s). Receiving a
consensus of the group managers
that the project is defined, the
Final PA is approved by the
Roadway Group Manager, The
District Engineer, the project
manager and the initiating
agency.
On projects involving state,
federal, or Indian land, the
landowner is included in the
February, 2004 PROJECT DEVELOPMENT PROCESS MANUAL Page 4.10
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scoping process. Local
governments will also be involved
whenever the project is located
within an incorporated area. A
written concurrence in the Final
PA is required from the public
landowner prior to circulation
for Department approval.
On federal- aid projects not
covered by Certification
Acceptance, FHWA is included in
the PA review process. The ADOT
approved PA is forwarded to FHWA
by the project manager with a
written request for agency
approval. Written FHWA
notification of acceptance of the
PA is considered federal
approval.
Unless the project location and
/ or design concept are issues
requiring additional study, the
approved PA becomes the basis for
inclusion in the Five- Year
Program and for subsequent
project design.
The project manager forwards the
approved PA to TPD for further
evaluation of the project as a
candidate for the Five- Year
Program. The estimated costs for
construction, utility relocation,
and right- of- way acquisition; a
time frame for design and
construction; and any known
schedule constraints, including
predecessor projects, should be
clearly identified in the
transmittal to TPD.
4.7.3 Location/ Design Concept
Report